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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2004-07-29 |
| KY | RA | APPROVED | 2004-07-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner Smith Incorporated | Lexington | KY | 04/2003 | Present |
| Bank Of America, Na | Lexington | KY | 12/2009 | Present |
I*105497, For profit or not for profit: Non-Profit Organization Name of outside business organization: Rotary International District 6740Investment related: N Address of business: Lexington, Kentucky 40507Nature of business: Charitable Organization, Position, title, association: Committee Member, Start date of relationship: 7/1/2017Number of hours devoted: 20 hour(s) Monthly Number of hours devoted during trading hours: 10Duties: Rotary International is a Civic Organization. My position as District Foundation Chair will be to raise the awareness of the work of the Rotary International Foundation. I*133547For profit or not for profit: Non-Profit Organization Name of outside business organization: The Lexington Club, Inc. Investment related: N Address of business: Lexington, Kentucky 40507Nature of business: Corporation, Position, title, association: Director, Start date of relationship: 10/1/2020Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 0Duties: I have been voted on the Board of Directors for the Lexington Club. The Lexington Club is a private dinner club. My position, along with the other directors will be to guide the growth of the club and membership. I*707279, Entity Type, Entity Charitable, Name of OBA: OperaLex, Address: Lexington, KY, 40533, Investment Related: No, Position, Title, Association: Board Member, Officer, Employee Start Date: 02/10/2022, No Hours: 2hrs/Mo, No Hours during trading: 0, Duties: The mission is to enhance the general public's awareness and appreciation of opera in Central Kentucky and throughout the Commonweath primarily through support of the opera program at the University of Kentucky, including but not limited to the awarding of student scholarships. I will serve on the Board of Director.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-05-22 |
| S63 | Uniform Securities Agent State Law Examination | 1996-11-20 |
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