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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2011-07-05 |
| CA | RA | APPROVED | 1997-07-08 |
Branch Locations
555 California St, San Francisco, CA 94104 • United States
Lafayette, 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 Francisco | CA | 10/1986 | Present |
| Bank Of America,N.A. | San Francisco | CA | 06/2011 | Present |
I*137597 For profit or not for profit: For-Profit Organization Name of outside business organization: Carry U II, LLC Investment related: N Address of business: Lafayette, California 94549 Nature of business: LLC, Position, title, association: Other, The LLC will be owned by my Living Trust Start date of relationship: 4/30/2021 Number of hours devoted: 1 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: I am purchasing a single asset LLC which owns a boat that I will use for recreation.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-04-24 |
| S63 | Uniform Securities Agent State Law Examination | 1987-11-10 |
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