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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2005-01-05 |
| CA | RA | APPROVED | 1997-07-08 |
Branch Locations
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 | Riverside | CA | 05/1987 | Present |
| Bank Of America,Na | Riverside | CA | 08/2009 | Present |
I*1785332, Entity Type, Name of OBA: Rental Property 1 Address: Columbus, OH, 43206 Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date: 08/01/2024 No Hours: 2 Monthly No Hours during trading: 0 Duties: Owner
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-01-03 |
| S63 | Uniform Securities Agent State Law Examination | 1987-06-19 |
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