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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 1996-10-28 |
Branch Locations
2 disclosure categories 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 Incorporated | Houston | TX | 08/1996 | Present |
| Bank Of America, Na | Houston | TX | 12/2009 | Present |
I*41141 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: COASTAL CONSERVATION ASSOCIATION INVESTMENT RELATED: N ADDRESS OF BUSINESS: 1234 PORT WEST, HOUSTON, TEXAS 77056 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 1/1/2000 NUMBER OF HOURS DEVOTED: 3 HOUR(S) QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: OVERSIGHT, FOR BANQUEST FUNDRAISER AND AND SCHOLARSHIP ACTIVIES
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-11-22 |
| S63 | Uniform Securities Agent State Law Examination | 1996-10-25 |
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