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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 1992-05-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Antonio | TX | 05/1992 | Present |
| Bank Of America, N.A. | San Antonio | TX | 08/2014 | Present |
I*: 973659 Name of OBA: LLC Address: San Antonio , Texas, Investment Related: No Position, Title, Association: General Partner/Managing Member Employee Start Date: 8/31/2022 No Hours: 8 hrs Weekly No Hours during trading: 0 Duties: Owner of charter boat business, all financial responsibilities
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-03-18 |
| S63 | Uniform Securities Agent State Law Examination | 1989-09-01 |
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