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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2012-11-05 |
| ID | RA | APPROVED | 2009-10-23 |
| WA | RA | APPROVED | 2009-10-23 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Spokane | WA | 10/2009 | Present |
| Bank Of America,N.A. | Spokane | WA | 06/2011 | Present |
I*36907 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: J&K SMITH PROPERTIES LLC INVESTMENT RELATED: Y ADDRESS OF BUSINESS: LIBERTY LAKE, WASHINGTON 99019 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 12/15/2010 NUMBER OF HOURS DEVOTED: 5 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: PURCHASING A 4PLEX FOR PERSONAL INVESTMENT PROPERTY
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-03-26 |
| S63 | Uniform Securities Agent State Law Examination | 1997-10-27 |
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