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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MO | RA | APPROVED | 2001-04-17 |
| TX | RA | APPROVED_RES | 1998-10-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Frontenac | MO | 10/1998 | Present |
| Bank Of America,N.A. | Frontenac | MO | 12/2009 | Present |
I*77680 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: POTTER DYNASTY TRUST INVESTMENT RELATED: Y ADDRESS OF BUSINESS: 8 MUIRFIELD LANE, ST. LOUIS, MISSOURI 63141 NATURE OF BUSINESS: TRUST, POSITION, TITLE, ASSOCIATION: TRUSTEE, START DATE OF RELATIONSHIP: 12/23/2009 NUMBER OF HOURS DEVOTED: 1 HOUR(S) QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 1 DUTIES: INTENTIONALLY DEFECTIVE TRUST, TRUSTEE I*2189273, Entity Type: , Name of OBA: N F P Marital Trust U/A DTD 11/05/1992 , Address: Saint Louis, Missouri, 63141, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 07-Feb-2025, No Hours: 1 Weekly, No Hours during Trading: 1 Weekly, Duties
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-09-16 |
| S63 | Uniform Securities Agent State Law Examination | 1997-09-12 |
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