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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2016-11-15 |
| OH | RA | APPROVED | 2016-11-04 |
Branch Locations
10100 Innovation Dr, Miamisburg, OH 45342 • United States
Mason, OH • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Centerville | OH | 06/2009 | 11/2016 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 11/2016 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Miamisburg | OH | 11/2016 | Present |
| Bank Of America, N.A. | Miamisburg | OH | 03/2017 | Present |
I*9126 For profit or not for profit: rental property Name of outside business organization: 29 Pelican Investment related: No Address of business: Hilton Head, South Carolina 29928 Position, title, association: Co-owner with other family members Start date of relationship: 10/1/2019 Number of hours devoted: 0 Number of hours devoted during trading hours: 0 I*: 2427332 Entity Type: Fiduciary role Name of OBA: M. C. Address: Beavercreek, Ohio, 45434 Investment Related: No Position, Title, Association: Executor Employee Start Date: 3/6/2030 Number of Hours: 5 hrs annually Number of Hours during trading: 5 hrs annually Duties: Executor for Aunt
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-10-04 |
| S63 | Uniform Securities Agent State Law Examination | 1998-09-21 |
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