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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-05-05 |
| KY | RA | APPROVED | 2021-04-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Scottrade, Inc. | Lexington | KY | 09/2010 | 02/2018 |
| Td Ameritrade, Inc. | Lexington | KY | 02/2018 | 01/2021 |
| Td Ameritrade Investment Management, Llc | Omaha | NE | 02/2018 | 01/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Lexington | KY | 04/2021 | Present |
| Bank Of America, N.A. | Lexington | KY | 05/2021 | Present |
I* 505529 Entity Type: For Profit Name of OBA: KL Address: Lexington, Kentucky, 40514 Investment Related: No Nature of Business: Rental Property Position, Title, Association: Co-owner with other family members Employee Start Date: 5/1/2017 No Hours: 1 monthly No Hours during trading: 1 Duties: Co-owner
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-06-02 |
| S63 | Uniform Securities Agent State Law Examination | 2009-09-30 |
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