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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2008-07-21 |
| VA | RA | APPROVED | 2003-09-18 |
Branch Locations
650 Peter Jefferson Pkwy, Charlottesville, VA 22911 • United States
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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Charlottesville | VA | 06/1995 | Present |
| Bank Of America, N.A. | Charlottesville | VA | 12/2009 | Present |
I*6138 For profit or not for profit: Name of outside business organization: Carol Ham Investment related: Address of business: Charlottesville, Virginia 22911 Nature of business: , Position, title, association: , Start date of relationship: 4/29/2016 Number of hours devoted: 1 hour(s) Number of hours devoted during trading hours: 0 Duties: I*117133 For profit or not for profit: Non-Profit Organization Name of outside business organization: Westminster Cantebury of the Blue Ridge Investment related: N Address of business: Charlottesville, Virginia 22947 Nature of business: Corporation, Position, title, association: Trustee, Start date of relationship: 1/1/2019 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: It is an accredited life care community. Provides independent living in cottages, apartment homes, assisted living and memory care, short and long term nursing care. It is associated with Westminster Presbyterian Homes.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-09-17 |
| S65 | Uniform Investment Adviser Law Examination | 1997-07-17 |
| S63 | Uniform Securities Agent State Law Examination | 1997-05-06 |
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