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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MO | RA | APPROVED | 2019-02-12 |
| TX | RA | APPROVED_RES | 2018-10-11 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mml Investors Services | Chesterfield | MO | 08/2015 | 09/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Ladue | MO | 09/2018 | Present |
I*5050267 Entity Type: Fiduciary role Name of OBA: T. AND L. M. ESTATE Address: SAINT LOUIS, Missouri, 63141 Investment Related: No Position, Title, Association: Executor Employee Start Date: 07/22/2026 Number of Hours: 5, Yearly Number of Hours during trading: 5, Yearly Duties: Executor/Spouse
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-02-11 |
| S63 | Uniform Securities Agent State Law Examination | 2004-07-26 |
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