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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2016-06-24 |
| TX | RA | APPROVED_RES | 2007-01-11 |
| NC | RA | APPROVED | 2002-04-11 |
Branch Locations
800 Green Valley Rd, Greensboro, NC 27408 • United States
222 Lakeview Ave, West Palm Beach, FL 33401 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Inc. | Greensboro | NC | 12/2001 | Present |
| Bank Of America, N.A. | West Palm Beach | FL | 06/2011 | Present |
I*136869For profit or not for profit: Non-Profit OrganizationName of outside business organization: Sigma Chi Home Association of NorthwesternInvestment related: NoAddress of business: Evanston, Illinois 60204Nature of business: Charitable Organization,Position, title, association: Trustee, Start date of relationship: 4/5/2021Number of hours devoted: 6 hours MonthlyNumber of hours devoted during trading hours: 0Duties: The home association of my college fraternity (Sigma Chi) is the non profit entity that owns the chapter house and runs operations on behalf of the undergraduate kids. I have been asked to serve on board of trustees. I*1371282For profit or not for profit: CharitableName of outside business organization: Kellogg Finance Network Advisory BoardInvestment related: NoAddress of business: New Rochelle, New York, 10804, United StatesNature of business: Business or Industry OrganizationPosition, title, association: Board Member, Other Start date of relationship: 7/10/2023Number of hours devoted: 10 hours YearlyNumber of hours devoted during trading hours: 3Duties: Advisory Board Member, Our Mission. To build a dynamic, self-sustaining Northwestern / Kellogg global finance community that effectively serves its alumni, faculty, and student constituencies while reflecting the unique Kellogg spirit and culture. I*4536275 Entity Type: Fiduciary role Name of OBA: MR E. J E. TTEE K. G. E. TTEE U/A DTD 01/16/2020 Address: Boca Raton, Florida, 33496 Investment Related: No Position, Title, Association: Co-Trustee Employee Start Date: 05/08/2026 Number of Hours: 0 Number of Hours during trading: 0 Duties: Co-Trustee/Self, Spouse I*4672267 Entity Type: N/A Name of OBA: MR E J E TTEE K G E TTEE U/A DTD 01/16/2020 Address: Boca Raton, Florida, 33496 Investment Related: No Position, Title, Association: Co-Trustee Employee Start Date: 06/10/2026 Number of Hours: 1, Yearly Number of Hours during trading: 0, Yearly Duties: Self, Spouse
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-04-09 |
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