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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2012-06-05 |
| FL | RA | APPROVED | 2009-10-23 |
| NC | RA | APPROVED | 2009-10-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bank Of America, Na | Charlotte | NC | 10/2009 | Present |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Charlotte | NC | 10/2009 | Present |
I*13435 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL PROPERTY INVESTMENT RELATED: N ADDRESS OF BUSINESS: CHARLOTTE, NORTH CAROLINA 28270 NATURE OF BUSINESS: PARTNERSHIP, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 6/1/1999 NUMBER OF HOURS DEVOTED: 1 HOUR(S) QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: IT'S A RENTAL PROPERTY AND I AM THE CO-OWNER. MY DUITES INCLUDE WORKING WITH OUR PROPERTY MGR TO ENSURE THE PROPERTY IS MAINTAINED AND STAYS RENTED. I*94323 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: CHRIST LUTHERAN CHILDREN'S CENTER INVESTMENT RELATED: N ADDRESS OF BUSINESS: CHARLOTTE, NORTH CAROLINA 28226 NATURE OF BUSINESS: CORPORATION, POSITION, TITLE, ASSOCIATION: DIRECTOR, START DATE OF RELATIONSHIP: 7/12/2016 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: SEE GENERAL NOTES BELOW FOR NATURE/PURPOSE AND RESPONSIBILITIES/TASKS.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-06-21 |
| S63 | Uniform Securities Agent State Law Examination | 2000-08-31 |
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