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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2009-07-02 |
| IN | RA | APPROVED | 2008-03-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Evansville | IN | 02/2008 | Present |
| Bank Of America, N.A. | Evansville | IN | 05/2012 | Present |
I*26958FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: YMCAINVESTMENT RELATED: NADDRESS OF BUSINESS: EVANSVILLE, INDIANA 47708NATURE OF BUSINESS: CHARITABLE ORGANIZATION,POSITION, TITLE, ASSOCIATION: PART-TIME, START DATE OF RELATIONSHIP: 4/20/2007NUMBER OF HOURS DEVOTED: 20 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: SWIM INSTRUCTOR SWIM INSTRUCTOR I*3184324 Entity Type: N/A Name of OBA: K E E Address: Evansville, Indiana, 47725 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 04/13/2023 Number of Hours: 2, Yearly Number of Hours during trading: 2, Yearly Duties: Power of Attorney Spouse
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-08-17 |
| S65 | Uniform Investment Adviser Law Examination | 2002-08-28 |
| S63 | Uniform Securities Agent State Law Examination | 1997-06-23 |
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