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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2017-10-27 |
| TX | RA | APPROVED_RES | 2017-10-27 |
Branch Locations
608 Silver Spur Road Suite 100, Rolling Hills, CA 90274 • United States
Rancho Palos Verdes, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691 | Long Beach | CA | 12/2008 | 10/2017 |
| Bank Of America,Na | Rolling Hills Estates | CA | 08/2009 | 10/2017 |
| Rbc Capital Markets, Llc | Rolling Hills | CA | 10/2017 | Present |
| City National Bank | Rolling Hills | CA | 11/2017 | Present |
(1) PVG FOUNDATION - BAC DONOR ADVISED FUND; ADDRESS: 550 SILVER SPUR RD, ROLLING HILLS ESTATES, CALIFORNIA 90275; BUSINESS DESCRIPTION: NOT FOR PROFIT; START DATE: 08/27/2013; NOT INVESTMENT RELATED; CAPACITY: DONOR; DUTIES: DIRECTION OF FUNDS; HOURS DEVOTED TO THIS OBA PER MONTH: <1; HOURS DEVOTED DURING TRADING PER MONTH: NONE
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-06-23 |
| S63 | Uniform Securities Agent State Law Examination | 1988-05-09 |
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