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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| DC | RA | APPROVED | 2021-01-22 |
| NC | RA | APPROVED | 2021-01-22 |
| TX | RA | APPROVED_RES | 2020-12-14 |
Branch Locations
620 S Tryon St, Charlotte, NC 28255 • United States
225 Liberty St, New York, NY 10281 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tiaa | Charlotte | NC | 06/1997 | 01/2020 |
| Tiaa-Cref Individual & Institutional Services, Llc | Charlotte | NC | 06/1997 | 12/2019 |
| Condo Ownership | Charlotte | NC | 03/2019 | Present |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Washington | DC | 10/2020 | Present |
| Pfeiffer University | Misenheimer | NC | 01/2020 | Present |
I*133985For profit or not for profit: Non-Profit OrganizationName of outside business organization: Annie T. Doe. Memorial FoundationInvestment related: NAddress of business:Charlotte, North Carolina 28269Nature of business: Charitable Organization,Position, title, association: Director, Start date of relationship: 2/1/2012Number of hours devoted: 2 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: Provide education, health services and women empowerment to the children and women in Liberia, West Africa. I*134078For profit or not for profit: For-Profit OrganizationName of outside business organization: Linda ReevesInvestment related: NAddress of business:Charlotte, North Carolina 28215Nature of business: Other,I own this rental property with my husbandPosition, title, association: Owner, Start date of relationship: 2/1/2019Number of hours devoted: 5 hour(s) AnnuallyNumber of hours devoted during trading hours: 0Duties: This property is owned as a rental property. (2) VOLUNTEER AS SECRETARY TO PLACE OF HOPE.EFFECTIVE DATE: 5/26/2011VARIOUS LOCATIONSDEVOTE TIME ONLY ON SATURDAYS.NO HOURS ARE DEVOTED DURING SECURITIES TRADING HOURS. I*134079For profit or not for profit: For-Profit OrganizationName of outside business organization: Linda ReevesInvestment related: NAddress of business:Charlotte, North Carolina 28202Nature of business: Other,This condo is owned for rental purposesPosition, title, association: Owner, Start date of relationship: 2/28/2019Number of hours devoted: 6 hour(s) AnnuallyNumber of hours devoted during trading hours: 0Duties: This condo is owned for rental purposes. I* 1583285 For profit or not for profit: Name of outside business organization: Association of African American Financial Advisors Investment related: No Address of business: Washington, DC Nature of business: Position, title, association: Committee Start date of relationship: 12/01/2023 Number of hours devoted: 1 Number of hours devoted during trading hours: Duties: The Women's Impact Initiative Network (WIIN) committe will champion and empower women in the Financial Services industry, with a special focus on supporting Black/African American women. It's a network of female professionals in the wealth and asset management sector, united by a common goal: to champion and empower all women in our industry, with a special focus on supporting Black/African American women. My role will involve mentoring, advocacy, or resource development, I*1702280, Entity Type, Name of OBA: Rental Property 2 Address: SilverSpring, MD 20910 Investment Related: N Position, Title, Association: Sole owner Employee Start Date: 03/01/2024 No Hours: 5 No Hours during trading: 0 Duties: I*: 2710273Entity Type: FiduciaryName of OBA: A. H.Address: Staten Island, New York,10304Investment Related: NPosition, Title, Association: AdministratorEmployee Start Date: 08/07/2025No Hours: 1hr/weekNo Hours during trading:0Duties: Estate
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-06-28 |
| S63 | Uniform Securities Agent State Law Examination | 1997-09-12 |
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