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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2009-05-07 |
| CA | RA | APPROVED | 2009-05-04 |
Branch Locations
1331 N California Blvd, Walnut Creek, CA 94596 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Walnut Creek | CA | 05/2009 | Present |
| Bank Of America, N.A. | Walnut Creek | CA | 05/2011 | Present |
I*105116FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: WALNUT CREEK LIBRARY FOUNDATIONINVESTMENT RELATED: NOADDRESS OF BUSINESS: WALNUT CREEK, CALIFORNIA 94598POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBERSTART DATE OF RELATIONSHIP: 7/1/2017NUMBER OF HOURS DEVOTED: 4 HOURS MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: GENERAL BOARD MEMBER- ASKED TO ATTEND GALA AND HELP OUT ON BOOK SIGNINGS AND OTHER LOCAL EVENTS DESIGNED TO RAISE LIBRARY AWARENESS. I*417998, Entity Type: Entity Charitable, Name of OBA: Walnut Creek Historical Society, Address: walnut creek, California, 94598, Investment Related: N, Position, Title, Association: Officer, Employee State Date: 01/01/2018, No Hours: 6 Monthly, No Hours during Trading: 0 Monthly, Duties: as president- i will run meetings- coordinate events with executive director. assist executive director and board with budgeting and capital projects- no direct financial responsibility, local history education for elementary school students maitenance of the shadelands ranch museum - a california historical registered landmark
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-05-06 |
| S63 | Uniform Securities Agent State Law Examination | 1987-03-05 |
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