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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2004-04-08 |
| TX | RA | APPROVED_RES | 1999-05-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Columbus | OH | 04/1999 | Present |
| Bank Of America, N.A. | Columbus | OH | 07/2014 | Present |
I*100057 For profit or not for profit: For-Profit Organization Name of outside business organization: Buckeye/Noles LLC Investment related: N Address of business: Thornville, Ohio 43076 Nature of business: LLC, Position, title, association: Other, My husband is a member. Start date of relationship: 10/1/2003 Number of hours devoted: 0 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Land Investment - No responsibilities/tasks. I do not have ownership in this entity. Stephen Smith is the member.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-06-08 |
| S63 | Uniform Securities Agent State Law Examination | 1996-11-14 |
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