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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2010-06-24 |
| CT | RA | APPROVED | 2007-06-01 |
| TX | RA | APPROVED_RES | 2006-09-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 03/2006 | Present |
| Bank Of America, N.A. | Indiana | PA | 07/2011 | Present |
I*412603 Entity Type: Church or Religious Organization Name of outside business organization: St. Thomas More University Parish Investment related: No Address of business: Indiana, Pennsylvania, 15701 Position, title, association: Finance committee member Start date of relationship: 7/7/2021 Number of hours devoted: 8 hours Yearly Number of hours devoted during trading hours: 0 Duties: I have been asked to join the finance committee. The Parish's assets are managed by the Diocese of Greensburg. I will have no involvement in such. I believe the role will involve budgeting and expense control items and consult with the pastor. I*795315 For profit or not for profit: Name of outside business organization: St. Thomas More University Parish Investment related: No Address of business: Indiana, Pennsylvania, 15701 Position, title, association: Committee member Start date of relationship: Number of hours devoted: Number of hours devoted during trading hours: Duties: I am already serving on the finance committee. This is a sub committee for a fund raiser that will be held at the home of a client who is also a member of the Parish. I had nothing to do with the initiation of this event. My role is as a member of the planning committee. I will abstain from any conflicts that could arise if a request were to contact parishioners who are also clients. I*874235 For profit or not for profit: Entity For Profit Name of outside business organization: Uncle Davey & the Pool Boys Investment related: No Address of business: Indiana, Pennsylvania, 15701 Position, title, association: Band Member Start date of relationship: 7/1/2022 Number of hours devoted: 20 hours Yearly Number of hours devoted during trading hours: 0 Duties: Band Member, Musical band. No clients involved. May play at parties, bars, etc. Mostly classic rock, cover songs(easy listening)/country), and some potential originals. I*, Entity Type: Fiduciary Role, Name of OBA: CKW Address: Indiana, Pennsylvania, 15701 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 06/26/2024 No Hours: 5 Yearly No Hours during trading: 0 Duties: Power of Attorney I*: 2485277 Entity Type: Charitable Organization Name of OBA: West Point Parent's Club of Western PA Address: Indiana, PA 15701 Investment Related: No Position, Title, Association: officier Employee Start Date: 06/01/2025 Number of Hours: 3 hrs mthly Number of Hours during trading: 1 hr mthly Duties: President of club
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-04-25 |
| S63 | Uniform Securities Agent State Law Examination | 1997-12-22 |
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