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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2013-03-22 |
| NC | RA | APPROVED | 2005-08-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Winston-Salem | NC | 08/2005 | Present |
| Bank Of America,N.A. | Winston-Salem | NC | 06/2011 | Present |
BPS LLC; NOT INVESTMENT-RELATED; LEWISVILLE, NC 27023; REAL ESTATE/RENTAL PROPERTIES; GENERAL PARTNER; START DATE: 11/14/2010; 5 - 10 HRS DEVOTED PER MONTH; 0 HOURS DEVOTED DURING TRADING HRS; BUYING RENTAL PROPERTIES AND REAL ESTATE INVESTING. WE HAVE YET TO MAKE ANY REAL ESTATE PURCHASES; WE ARE INVESTIGATING PURCHASING FORECLOSED SINGLE FAMILY HOMES AND OTHER SINGLE FAMILY HOMES FOR RENTAL INCOME PURPOSES IN OUR AREA.I*36456FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: BRADLEY R PITTSINVESTMENT RELATED: YADDRESS OF BUSINESS:LEWISVILLE, NORTH CAROLINA 27023NATURE OF BUSINESS: PARTNERSHIP,POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 11/15/2010NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 1DUTIES: BUYING RENTAL PROPERTIES AND REAL ESTATE INVESTINGI*28610FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: WINSTON-SALEM SETOMA CLUBINVESTMENT RELATED: NADDRESS OF BUSINESS: WINSTON-SALEM, NORTH CAROLINA 27113NATURE OF BUSINESS: CHARITABLE ORGANIZATION,POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 9/1/2007NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: DIRECTOR/BOARD MEMBER SERVICE ORGANIZATION GIVE FUNDS TO SPEECH THERAPY PROGRAM / DEAF CAMPI*114555For profit or not for profit: Non-Profit OrganizationName of outside business organization: Armando Rusindo Mission FoundationInvestment related: NAddress of business:Winston-Salem, North Carolina 27101Nature of business: Charitable Organization,Position, title, association: Advisory Board Member, Start date of relationship: 6/1/2018Number of hours devoted: 3 hour(s) QuarterlyNumber of hours devoted during trading hours: 0Duties: ARMF is a mission foundation that supports the work of the Moravian church in Cuba. I will be a board of director for this organization - we will engage in fundraising projects and providing guidance of support areas where we can assist these church. I*2040258, Entity Type, Entity Charitable, Name of OBA: New Philadelphia Moravian Church, Address: Winston-Salem, NC, 27104, Investment Related: No, Position, Title, Association: Board Member, Employee Start Date: 01/01/2025, No Hours: 6hrs/Mo, No Hours during trading: 2, Duties: church trustee - sit on a board that will over see the church's physical property and make spending decisions. I*2278286, Entity Type: , Name of OBA: T S. P Roth IRA, Address: Lewisville, North Carolina, 27023, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 14-Mar-2025, No Hours: 1 Yearly, No Hours during Trading: 1 Yearly, Duties:
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1997-01-03 |
| S65 | Uniform Investment Adviser Law Examination | 1997-01-03 |
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