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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2012-09-25 |
| CA | RA | APPROVED | 2009-10-23 |
Branch Locations
1020 Marsh St, San Luis Obispo, CA 93401 • United States
Nipomo, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Luis Obispo | CA | 10/2009 | Present |
| Bank Of America,Na | Santa Maria | CA | 11/2009 | Present |
FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: SPALLINO/ZIMMER JOINT VENTURE AGREEMENT INVESTMENT RELATED: Y ADDRESS OF BUSINESS: 842 GOODCHILD LANE SANTA MARIA, CALIFORNIA UNITED STATES 93455 NATURE OF BUSINESS: OTHER JOINT VENTURE AGREEMENT POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 3/1/2013 NUMBER OF HOURS DEVOTED: 1 MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THIS IS AN AGREEMENT BETWEEN THE SPALLINO FAMILY AND THE ZIMMER FAMILY TO INVEST IN FOUR RENTAL PROPERTIES IN NORTH CAROLINA.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-09-22 |
| S63 | Uniform Securities Agent State Law Examination | 1994-06-01 |
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