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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2024-10-01 |
| TX | RA | APPROVED_RES | 2000-01-14 |
| IA | RA | APPROVED | 1999-01-01 |
Branch Locations
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 |
|---|---|---|---|---|
| Bank Of America, N.A. | Des Moines | IA | 05/2011 | Present |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Des Moines | IA | 05/1996 | Present |
I*1877264, Entity Type: Entity Not for Profit, Name of OBA: Rosewood Homeowners Association, Address: Urbandale,Iowa 50323, Investment Related: N, Position, Title, Association: Board Member, Employee Start Date: 06/11/2024, No Hours: 0, No Hours during trading: 0, Duties: Board member of my HOA, with primary duty as landscaping coordinator
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-10-04 |
| S63 | Uniform Securities Agent State Law Examination | 1996-09-24 |
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