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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2018-01-13 |
| CA | RA | APPROVED | 2013-05-13 |
Branch Locations
2 disclosure categories 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 | Beverly Hills | CA | 03/2013 | Present |
| Bank Of America, N.A. | Beverly Hills | CA | 05/2013 | Present |
I*110341 For profit or not for profit: Non-Profit Organization Name of outside business organization: Men's Guild of Children's Hospital Los Angeles Investment related: N Address of business: Los Angeles, California 90017 Nature of business: Charitable Organization, Position, title, association: Committee Member, Start date of relationship: 11/10/2017 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 1 Duties: Corporate sponsorship committee
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1999-09-29 |
| S65 | Uniform Investment Adviser Law Examination | 1999-08-26 |
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