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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2012-12-06 |
| CA | RA | APPROVED | 2011-01-11 |
| FL | RA | APPROVED | 1993-06-07 |
Branch Locations
520 Newport Center Dr, Newport Beach, CA 92660 • United States
San Juan Capistrano, CA • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Fort Lauderdale | FL | 05/1993 | Present |
I*2918270Entity Type: N/AName of OBA: J. and S.H. Family Trust Address:San Juan Capistrano CaliforniaInvestment Related:NoPosition, Title, Association:Co-Trustee Start Date:09/26/2025No Hours: 1 WeeklyNo Hours during trading:1 WeeklyDuties:Co-Trustee for self and my wife I*4717315, Entity Type: , Name of OBA: S A H TTEE U/A DTD 08/21/2017 BY S A H, Address: Osprey, Florida, 34229, Investment Related: N, Position, Title, Association: Power of Attorney, Employee Start Date: 06/15/2026, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-10-28 |
| S63 | Uniform Securities Agent State Law Examination | 1986-12-19 |
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