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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 1997-12-09 |
Branch Locations
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 | Kingwood | TX | 11/1997 | Present |
| Bank Of America, Na | Kingwood | TX | 09/2009 | Present |
I*1040403, Name of OBA: Rental Property 1 Address: College, TX Investment Related: No Position, Title, Association: Sole owner Employee Start Date: 9/1/2022 No Hours: 4 Monthly No Hours during trading: 1 Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-01-05 |
| S63 | Uniform Securities Agent State Law Examination | 1997-10-20 |
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