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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2010-09-01 |
| TX | RA | APPROVED_RES | 1991-08-29 |
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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Saginaw | MI | 11/1989 | Present |
| Bank Of America, N.A. | Saginaw | MI | 12/2009 | Present |
I*5780 For profit or not for profit: Name of outside business organization: Victor Aviles Investment related: Address of business: Travese City, Michigan 49684 Nature of business: , Position, title, association: , Start date of relationship: 1/8/2018 Number of hours devoted: 2 hour(s) Number of hours devoted during trading hours: 0 Duties: I*6030 For profit or not for profit: Name of outside business organization: Rental cottage Investment related: Address of business: Traverse City, Michigan 49684 Nature of business: , Compensation for Activity: Position, title, association: , Start date of relationship: 4/2/2018 Number of hours devoted: 4 hour(s) Number of hours devoted during trading hours: 0 Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-04-23 |
| S63 | Uniform Securities Agent State Law Examination | 1988-09-21 |
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