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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 1997-07-08 |
| TX | RA | APPROVED_RES | 1994-01-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Francisco | CA | 01/1987 | Present |
| Bank Of America, N.A. | San Francisco | CA | 07/2011 | Present |
1)FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: THE TONG INVESTMENT RELATED: NO ADDRESS OF BUSINESS: WALNUT GROVE, CALIFORNIA 95690 I*1515325 , Name of OBA: Rental Property 1 Address: Walnut Grove Investment Related: No Position, Title, Association: Sole owner Employee Start Date: 11/01/2023 No Hours: 0 No Hours during trading: 0 Duties: N/A NATURE OF BUSINESS: FAMILY BUSINESS POSITION, TITLE, ASSOCIATION: OWNER START DATE OF RELATIONSHIP: 05/06/2012 NUMBER OF HOURS DEVOTED: 4 HOUR(S) MONTHLY NUMBER OF HOURS DURING TRADING HOURS: 0 HOUR(S) MONTHLY DUTIES: SEASONAL RETAIL ESTABLISHMENT OFFERING CONSIGNMENT ART AND ASSORTED GIFTS. MY WIFE, STACY, OPERATES THE BUSINESS. THE TONG IS OPEN FRI-SUN, MAY-DEC. I HAVE A FINANCIAL COMMITMENT, BUT NO DAY TO DAY RESPONSIBILITIES. I*6306 For profit or not for profit: Name of outside business organization: The Royal - RENTAL Address of business: San Francisco, California 94104 Nature of business: , Position, title, association: , Start date of relationship: 5/16/2018 Number of hours devoted: 5 hour(s) Number of hours devoted during trading hours: 0 Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-08-13 |
| S63 | Uniform Securities Agent State Law Examination | 1987-04-15 |
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