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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2004-07-22 |
| OH | RA | APPROVED | 2001-03-29 |
Branch Locations
5905 E Galbraith Rd, Cincinnati, OH 45236 • United States
Cincinnati, OH • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Cincinnati | OH | 03/2000 | Present |
| Bank Of America, N.A. | Cincinnati | OH | 12/2009 | Present |
I*26135 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL PROPERTY INVESTMENT RELATED: N ADDRESS OF BUSINESS: CINCINNATI, OHIO 45226 NATURE OF BUSINESS: OTHER,SOLE OWNER RENTAL PROPERTY POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 9/11/1993 NUMBER OF HOURS DEVOTED: 0 HOUR(S) QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: RENTAL PROPERTY *110299 For profit or not for profit: For-Profit Organization Name of outside business organization: Baumgartner Holdings LLC Investment related: N Address of business: Cincinnati, Ohio 45230 Nature of business: LLC, Position, title, association: General Partner, Start date of relationship: 1/1/2017 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: this llc was created to hold properties transferred to my sister and i from my parents using a qprt. the wcma account has been funded to help repair and cover expenses at the florida keys property.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-05-31 |
| S63 | Uniform Securities Agent State Law Examination | 1989-03-14 |
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