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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-04-27 |
Branch Locations
1 disclosure category 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 |
|---|---|---|---|---|
| National Alliance Securities, Llc | Austin | TX | 05/2016 | 10/2018 |
| Wells Fargo Clearing Services | Austin | TX | 10/2018 | 08/2023 |
| Wells Fargo Bank | Austin | TX | 10/2018 | 08/2023 |
| Comerica Bank | Austin | TX | 08/2023 | 02/2026 |
| Ameriprise Financial Services, Llc | Austin | TX | 11/2023 | 02/2026 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Austin | TX | 04/2026 | Present |
I*4508281, Entity Type: Entity Charitable, Name of OBA: First Tee Greater Austin, Address: Austin, Texas, 78723, Investment Related: N, Position, Title, Association: Board Member, Employee Start Date: 03/20/2012, No Hours: 6 Monthly, No Hours during Trading: 2 Monthly, Duties: Provide structure,direction,and programming for First Tee Greater Austin. Empowering kids and teens through the game of golf. I*4508282, Entity Type: Entity Charitable, Name of OBA: The Warrior National Foundation, Address: Austin, Texas, 78738, Investment Related: N, Position, Title, Association: Board Member, Employee Start Date: 03/24/2014, No Hours: 4 Monthly, No Hours during Trading: 0 Monthly, Duties: Board Member Coordinate fund raising events/hosting fund raising events/dedicate scholarships to candidates/he mission of The Warrior National Foundation is to provide funding and support to protect children, promote education, assist military families, and help those affected by disease and disabilities. The Foundation endeavors to allocate this funding and support to individuals and to nonprofit organizations in the United States. The WARRIOR spirit resides in many who dare to live where life seems more terrible than death. It is these brave fighters that we strive to help rise up from their struggles..Struggles that encompass one or multiple aspects of the four pillars that are the cornerstones of our mission. The current focus of Warrior National is to support military families.The Warrior National Foundation has partnered with The SEAL Legacy Foundation.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-12-22 |
| S63 | Uniform Securities Agent State Law Examination | 1989-06-23 |
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