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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2013-08-28 |
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 | 08/2013 | Present |
| Bank Of America, N.A. | San Antonio | TX | 10/2013 | Present |
I*66375 NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: HEARTGIFT SAN ANTONIO INVESTMENT RELATED: NO ADDRESS OF BUSINESS: SAN ANTONIO, TEXAS 78248 NATURE OF BUSINESS: CHARITABLE ORGANIZATION POSITION, TITLE, ASSOCIATION: DIRECTOR START DATE OF RELATIONSHIP: 5/3/2010 HOURS DEVOTED: 3 HOURS MONTHLY HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: PERFORMS HEART SURGERIES ON CHILDREN WITH CONGENITAL HEART DEFECTS FROM THIRD WORLD COUNTRIES THAT DO NOT HAVE THE MEANS OR THE ACCESS TO THE SURGICAL SOLUTIONS. PRIMARY DUTY IS TO RAISE AWARENESS OF THE ORGANIZATION I*1340257 For profit or not for profit: Charitable Name of outside business organization: Rotary Club of San Antonio at The Dominion Investment related: No Address: San Antonio, TX, 78257 Nature of business: Charitable Organization Position, title, association: Board Member Start date of relationship: 6/12/2023 Hours devoted: 2 hours Weekly Hours devoted during trading hours: 0 Duties: Rotary of San Antonio at The Dominion is a chapter of Rotary International. We are a service organization doing service projects in the community and raising money through events to benefit the disadvantaged. Rotary International is one of the largest service organizations in the world. Its stated mission is to provide service to others, promote integrity, and advance world understanding, goodwill, and peace through the fellowship of business, professional, and community leaders I* 1825282 For profit or not for profit: Entity Charitable Name of outside business organization: Rotary of San Antonio at The Dominion Investment related: no Address of business: San Antonio, TX, 78257 Nature of business: Charitable Organization Position, title, association: Officer Start date of relationship: 07/01/2024 Number of hours devoted: 3 weekly Number of hours devoted during trading hours: 0 Duties: Rotary of San Antonio at The Dominion is a chapter of Rotary International. We are a service organization doing service projects in the community and raising money through events to benefit the disadvantaged. Rotary International is one of the largest service organizations in the world. Its stated mission is to provide service to others, promote integrity, and advance world understanding, goodwill, and peace through the fellowship of business, professional, and community leaders I*: 2186259 Entity Type: Charitable Name of OBA: Rotary Club of San Antonio at The Dominion Address: San Antonio, TX 78257 Investment Related: No Position, Title, Association: Officer Employee Start Date: 07/01/2025 Number of Hours: 2 hrs wkly Number of Hours during trading: 2 hrs wkly Duties: Rotary is a service organization that helps the immediate community primarily through service projects and fund raising events.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-04-17 |
| S63 | Uniform Securities Agent State Law Examination | 2002-04-03 |
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