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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2014-09-16 |
| AL | RA | APPROVED | 2014-07-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Gadsden | AL | 04/2014 | Present |
| Bank Of America, N.A. | Gadsden | AL | 11/2014 | Present |
I*: 2311282Entity Type: For ProfitName of OBA: R. Family LLCAddress: Gadsden, AL 35901Investment Related: NoPosition, Title, Association: General Partner/Managing MemberEmployee Start Date: 07/01/2025Number of Hours: 1 hr mthlyNumber of Hours during trading: 0Duties: Manage commercial property I*3223269 Entity Type: N/A Name of OBA: F W Address: Anniston, Alabama, 36207 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 12/01/2025 Number of Hours: 1, Yearly Number of Hours during trading: 0.5, Yearly Duties: Power of Attorney Child/Grandchild
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-07-18 |
| S65 | Uniform Investment Adviser Law Examination | 1999-08-24 |
| S63 | Uniform Securities Agent State Law Examination | 1997-07-18 |
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