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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 |
| SC | RA | APPROVED | 2004-02-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Columbia | SC | 12/1998 | Present |
I*2068282, Entity Type: For Profit Name of OBA: Uber Address: San Francisco CA 94158 Investment Related: No Position, Title, Association: Employee: Uber Driver Employee Start Date: 10.28.2024 No Hours: 20hrs/month No Hours during trading: 0 Duties: Transportation and food delivery I*64611 For profit or not for profit: For-Profit Organization Name of outside business organization: Rowland Investment Holdings, LLC Investment related: No Address of business: Columbia, South Carolina 29206 Position, title, association: Officer, Start date of relationship: 6/19/2013 Number of hours devoted: 2 hrs Mthly Number of hours devoted during trading hours: 0 Duties: My wife has taken a job in the ER and will be paid via 1099. Our CPA suggested that all of the pay be run through an LLC. I*: 2930302 Entity Type: For Public, Publicly Traded Name of OBA: Lyft Address: New York, NY 10001 Investment Related: No Position, Title, Association: Ride share driver Employee Start Date: 10/1/2025 Number of Hours: 15 hrs wkly Number of Hours during trading: 0 Duties: Ride Share Driver
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-09-29 |
| S63 | Uniform Securities Agent State Law Examination | 1997-11-24 |
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