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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-05-29 |
Branch Locations
13135 Dairy Ashford Rd Retirement & Personal Wealth Solutions, Sugar Land, TX 77478 • United States
1100-1800 American Blvd Retirement & Personal Wealth Solutions, Pennington, NJ 08534 • United States
Sugar Land, TX • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| A I M Distributors, Inc. | Houston | TX | 02/2001 | 05/2020 |
| Invesco Advisers, Inc. | Atlanta | GA | 01/2010 | 05/2020 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Sugar Land | TX | 05/2020 | Present |
OBA ID: 407356 ROBERT RODRIGUEZ - Bridge Preparatory Academy NOT INVESTMENT RELATED Address: SUGAR LAND, TX 77479 BOARD POSITION FOR A PRIVATE CHRISTIAN SCHOOL; BOARD MEMBER START: 04/2018 05HRS/MO, NOT DURING TRADING HOURS MONTHLY/QUARTERLY MEETINGS TO PROVIDE A GOVERNING BODY FOR THE SCHOOL. OBA ID; 504239 RENTAL PROPERTY #1 INVESTMENT RELATED Address: FRIENDSWOOD, TEXAS 77546 RENTAL INCOME; OWNER START: 04/2002; 1HR/MO, NOT DURING TRADING HOURS; MANAGING PROPERTY. RENTAL #2; INVESTMENT RELATED; SUGAR LAND, TX 77478; RENTAL INCOME; OWNER; START: 02/2014; 1HR/MO, NOT DURING TRADING HOURS; MANAGING PROPERTY. RENTAL #3; INVESTMENT RELATED; SUGAR LAND, TX 77478; RENTAL INCOME; OWNER; START: 09/2017; 1HR/MO, NOT DURING TRADING HOURS; MANAGING PROPERTY. I*4642296 Entity Type: Charitable Name of OBA: The Arc of Fort Bend County Address: Sugar Land, Texas, 77478 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 07/01/2026 Number of Hours: 3, Monthly Number of Hours during trading: 0 Duties: This is a Board position for the Arc which provides a variety of services to support families of special needs (IDD) children and adults. Services include advocacy, group homes, sports. My role will be in a governance role as a board member and serve a 2 year term. Monthly Board meetings and coaching
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-09-01 |
| S63 | Uniform Securities Agent State Law Examination | 2001-04-23 |
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