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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2014-10-16 |
| MO | RA | APPROVED | 2002-01-24 |
Branch Locations
1371 N Mt Auburn Rd, Cape Girardeau, MO 63701 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Cape Girardeau | MO | 01/1996 | Present |
| Bank Of America, N.A. | Cape Girardeau | MO | 08/2011 | Present |
I*36392 FOR-PROFIT NAME: RIVENDELL PROPERTIES LLCINVESTMENT RELATED: N ADDRESS :CAPE GIRARDEAU, MISSOURI NATURE OF BUSINESS: LLC,POSITION: LIMITED PARTNER, START DATE: 1/1/2006 HOURS DEVOTED: 1 MONTHLY HOURS DURING TRADING HOURS: 1 DUTIES: THIS IS RELATED TO ANOTHER FAMILY BUSINESS SUMMIT ENTERPRISES LLC I*77691FFor-Profit Name: Summit Enterprises LLC Investment related: NAddress :Cape Girardeau, Missouri Nature of business: LLC,Position: Family Held, Start date: 1/2/2015 hours devoted: 1 Monthly hours devoted during trading hours: 0Duties: member of LLC family holdings of real estate I*1020334 For Profit Name: Mimi Ski LLCInvestment related: NAddress: Cape Girardeau, Missouri, 63701Nature of business: ["Limited Liability Company"]Position: ["Owner"], Start date of relationship: 1/6/2023Number of hours devoted: 0 hour(s) YearlyNumber of hours devoted during trading hours: 0 Duties: , My Immediate family own a fractional interest in a Condo at Timbers Bachelors Gulf, Beaver Creek, CO for Winter and Summer vacationing I* 1739280 For ProfitName: Peak Enterprises LLCInvestment related: noAddress: Cape Girardeau, MO Nature: LLC Position: OwnerStart date: 12/20/1995 hours devoted: 0 yearly hours during trading hours: 0Duties: The purpose was to hold real estate property...currently I have responsibility this is closed, inactive LLC . I*1738274For ProfitName of OBA: R.E.L. Holdings, LLCAddress: Cape Girardeau, Missouri, 63701Investment Related: NoPosition: OwnerEmployee Start : 01/04/2006No Hours: 1No Hours during trading: 1Duties: This entity's purpose was to hold real estate for a short period of time and sell it. Currently It has no value and is inactive, closed and I have no responsibility. I*2081262, Fiduciary, Name: E R D Address: Cape Girardeau, Missouri, 63701 Investment Related: No Position: Power of Attorney Start Date: 07-Nov-2024 No Hours: 0 No Hours during trading: 0 Duties: I*2555268, Entity Type: , Name: G K D, Address: Cape Girardeau, Missouri, 63703, Investment Related: N, Position: Power of Attorney, State Date: 06/17/2025, No Hours: 1 Weekly, No Hours during Trading: 1 Weekly, Duties: I*2555269, Entity Type: , Name: M H D TTEE, Address: CAPE GIRARDEAU, Missouri, 63701, Investment Related: N, Positio: Power of Attorney, State Date: 06/16/2025, No Hours: 1 Monthly, No Hours during Trading: 1 Monthly, Duties: I*2555270, Entity Type: , Name: M H D TTEE, Address: CAPE GIRARDEAU, Missouri, 63701, Investment Related: N, Position: Power of Attorney, Employee State Date: 06/16/2025, No Hours: 1 Monthly, No Hours during Trading: 1 Monthly, Duties: I*2556266, Entity Type: , Name: M H D TTEE, Address: CAPE GIRARDEAU, Missouri, 63701, Investment Related: N, Position: Power of Attorney, State Date: 06/16/2025, No Hours: 1 Monthly, No Hours during Trading: 1 Monthly, Duties: I*2556267, Entity Type: , Name: M H D TTEE, Address: CAPE GIRARDEAU, Missouri, 63701, Investment Related: N, Position: Power of Attorney, State Date: 06/16/2025, No Hours: 1 Monthly, No Hours during Trading: 1 Monthly, Duties: I*2556268, Entity Type: , Name: G K D TTEE, Address: CAPE GIRARDEAU, Missouri, 63701, Investment Related: N, Position: Power of Attorney, State Date: 06/16/2025, No Hours: 1 Monthly, No Hours during Trading: 1 Monthly, Duties: I*3167286Entity Type: CharitableName: Oscar Hirsch FoundationAddress: Cape Girardeau, MissouriInvest Related: NoAssociation: Board MemberStart Date: 01/01/2026Number of Hours: 3, YearlyHours during trading: 0, YearlyDuties: Community Charities (grants to 501(c)3 organizations) Attend board meetings, provide advice and guidance. I*4376268, Entity Type: , Name of OBA: MR G K D TTEE U/A DTD 09/03/1979 BY MR G K D, Address: Cape Girardeau, Missouri, 63701, Investment Related: N, Position, Title, Association: Power of Attorney, Employee Start Date: 04/10/2026, No Hours: 1 Monthly, No Hours during Trading: 1 Monthly, Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-12-20 |
| S63 | Uniform Securities Agent State Law Examination | 1989-09-20 |
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