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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2013-02-06 |
| KY | RA | APPROVED | 2010-11-03 |
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 | Louisville | KY | 10/2009 | Present |
| Bank Of America, N.A. | Louisville | KY | 02/2011 | Present |
I*83233FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: BLACK ROOSTER FARMS, LLCINVESTMENT RELATED: NADDRESS OF BUSINESS:LOUISVILLE, KENTUCKY 40205NATURE OF BUSINESS: LLC,POSITION, TITLE, ASSOCIATION: LIMITED PARTNER, START DATE OF RELATIONSHIP: 8/12/2015NUMBER OF HOURS DEVOTED: 0 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: BLACK ROOSTER FARMS LLC IS A BUSINESS OWNED BY MY WIFE AND MYSELF (50/50)IT IS A WILDFLOWER FRAM WITH OTHER AGRICULTURAL PRODUCTS EXPECTED TO BE PRODUCED. THE BUSINESS WILL BE OPERATED EXCLUSIVELY BY MY WIFE I*2742275, Entity Type: Entity For Profit, Name of OBA: Black Rooster Classics, LLC, Address: Louisville, Kentucky, 40205, Investment Related: N, Position, Title, Association: General Partner/Managing Member, Employee State Date: 09/01/2025, No Hours: 1 Weekly, No Hours during Trading: 0 Weekly, Duties: periodically, recreationally, purchase/sell a vehicle, periodically purchase and sell classic, enthusiast, cars...primarily for recreation. The LLC is primarily for asset protection I*2813303, Entity Type: Entity Charitable, Name of OBA: Decode Project, Address: Louisville, Kentucky, 40203, Investment Related: N, Position, Title, Association: Board Member, Employee State Date: 10/01/2025, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties: monthly board meetings, promote and improve literacy in underserved communities I*429723, Entity Type: , Name of OBA: Black Rooster Farms, LLC, Address: Louisville, Kentucky, 40205, Investment Related: N, Position, Title, Association: member, Employee Start Date: 06/14/2015, No Hours: 0 Monthly, No Hours during Trading: 0 Monthly, Duties: I have no involvement in the business. I am member of the LLC and a signor on the business checking account (as a contingency). Black Rooster Farms is a flower business operated exclusively by my wife, K N. I*4680356, Entity Type: Entity Charitable, Name of OBA: dare to care, Address: Louisville, Kentucky, 40232, Investment Related: N, Position, Title, Association: Board Member, Employee Start Date: 07/01/2026, No Hours: 2 Monthly, No Hours during Trading: 0 Monthly, Duties: I am being asked to join the Board. I will NOT be on an investment committee or other financially related committee(s). I expect to attend 8 board meetings a year and potentially participate in a non financial committee, Dare to Care is a 501c3 org that is focused on food insecurity.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-08-27 |
| S63 | Uniform Securities Agent State Law Examination | 1998-09-03 |
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