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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| LA | RA | APPROVED | 2015-12-22 |
| TX | RA | APPROVED_RES | 1989-02-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New Orleans | LA | 01/1988 | Present |
| Bank Of America, Na | New Orleans | LA | 12/2009 | Present |
(1) TRUSTEE FOR SISTER'S TRUST SINCE 2004; ADDRESS IS 15120 DENDINGER DRIVE, COVINGTON, LA 70433;TAKES 10 MINUTES PER MONTH. NOT INVESTMENT RELATED. I*41854 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: THE FAMILY OF RESTURANTS INVESTMENT RELATED: Y ADDRESS OF BUSINESS: NEW ORLEANS, LOUISIANA 70130 NATURE OF BUSINESS: FAMILY BUSINESS, POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 1/3/2011 NUMBER OF HOURS DEVOTED: 1 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: FAMILY BUSINESS. 5% OWNERSHIP I*41855 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: COMANDER'S PALACE INVESTMENT RELATED: N ADDRESS OF BUSINESS: NEW ORLEANS, LOUISIANA 70130 NATURE OF BUSINESS: FAMILY BUSINESS, POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 1/3/2011 NUMBER OF HOURS DEVOTED: 1 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: FAMILY BUSINESS. 5% OWNERSHIP I*: 1692357 Entity Type: Entity For Profit Name of OBA: john t and claire l family partnership Address: Covington, LA Investment Related: No Position, Title, Association: Owner Employee Start Date: 6/29/1989 Number of Hours: 0 Number of Hours during trading: 0 Duties: this entity was formed june 29, 1989. as an estate planning tool for my parents. there were no real responsibilities
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-10-04 |
| S63 | Uniform Securities Agent State Law Examination | 1988-05-12 |
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