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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2014-03-05 |
| OH | RA | APPROVED | 2014-02-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Toledo | OH | 02/2014 | Present |
| Bank Of America, N.A. | Toledo | OH | 04/2014 | Present |
I*70227 For profit or not for profit: For-Profit Organization Name of outside business organization: HORSES FOR RACING AND BREEDING Investment related: N Address of business: PERRYSBURG, Ohio 43551 Nature of business: Sole Proprietorship, Position, title, association: Owner, Start date of relationship: 6/15/1989 Number of hours devoted: 3 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: i HAVE NO RESONSIBILITIES DAY TO DAY. a FRIEND AND i HAVE OWNED STANDARDBRED MARES SINCE 1989. WE BREED THEM AND TRY TO SELL THE OFFSPRING..OCCASSIONALLY WE KEEP THEM TO RACE.. NORMALLY WE LOSE A LITTLE.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-01-21 |
| S63 | Uniform Securities Agent State Law Examination | 1989-04-11 |
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