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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2004-12-17 |
| CO | RA | APPROVED | 2004-12-16 |
Branch Locations
6400 S Fiddlers Green Cir, Greenwood Village, CO 80111 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Englewood | CO | 12/2004 | Present |
| Bank Of America, Na | Aspen | CO | 09/2009 | Present |
I*61168FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: L N M TRUSTINVESTMENT RELATED: YADDRESS OF BUSINESS:AMARILLO, TEXAS 79114NATURE OF BUSINESS: TRUST,POSITION, TITLE, ASSOCIATION: OTHER, BENEFICIARY ONLYSTART DATE OF RELATIONSHIP: 1/3/1994NUMBER OF HOURS DEVOTED: 0 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: I AM A BENEFICIARY TO THE TRUST AND HAVE NO RESPONSIBILITIES/TASKS. I RECEIVE MONTHLY INCOME THAT IS LARGELY RELATED TO OIL ROYALTIES; THERE IS NO ASSOCIATED BROKERAGE ACCOUNT AT THIS TIME. I*: 1048331 Name of OBA: Donut NV Address: Littleton, Colorado, Investment Related: N, Position, Title: Owner Employee Start Date: 10/28/2022,No Hours: 5, Monthly No Hours: during trading: 1 Duties: My husband and I are buying a Donut trailer franchise. We have not set up the TIN, yet, but the Company we are buying the Franchise in is called Donut NV. We will form an LLC to own the Company. My husband will be the primary owner/operator, but I will help him on the weekends I*4147265 Entity Type: For Profit, Name of OBA: Miller Family Trust, Address: Avon, Colorado, 81620, Investment Related: N, Position, Title, Association: Owner, Employee Start Date: 04/01/2026, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties: coordinating dates and cleaning, mountain home that will have some rental income I*4351265Entity Type: For ProfitName of OBA: Highway 6 E LLCAddress: Avon, Colorado, 81620Investment Related: NoPosition, Title, Association: OwnerEmployee Start Date: 05/05/2025Number of Hours: 1, MonthlyNumber of Hours during trading: 0, MonthlyDuties: Ownership of the rental property only managing a rental calendar and scheduling cleanings/repairs with my husband being the lead I*4405266, Entity Type: , Name of OBA: E M M TTEE M L M TTEE U/A DTD 01/23/2024 , Address: Columbine Valley, Colorado, 80123, Investment Related: N, Position, Title, Association: Co-Trustee, Employee Start Date: 01/23/2024, No Hours: 5 Monthly, No Hours during Trading: 0 Monthly, Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-08-10 |
| S63 | Uniform Securities Agent State Law Examination | 1998-05-22 |
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