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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2002-08-02 |
| TX | RA | APPROVED_RES | 2001-09-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Greensboro | NC | 10/2000 | Present |
| Bank Of America, N.A. | Greensboro | NC | 12/2009 | Present |
I*122410 For profit or not for profit: Non-Profit Organization Name of outside business organization: Crescent Rotary Club Foundation Investment related: N Address of business: Greensboro, North Carolina 27403 Nature of business: Charitable Organization, Position, title, association: Director, Start date of relationship: 7/1/2019 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 1 Duties: Analysis of investment account (with no recommendations being offered) Review of financial statements Review and approval of grant requests Fundraising
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-06-28 |
| S63 | Uniform Securities Agent State Law Examination | 1998-05-15 |
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