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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 1999-12-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith, Inc. | Houston | TX | 10/1999 | Present |
| Bank Of America, Na | Houston | TX | 09/2009 | Present |
I*45117 For profit or not for profit: Non-Profit Organization Name of outside business organization: United Way or Great Houston Investment related: N Address of business: Houston, Texas 77007 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 1/7/2019 Number of hours devoted: 100 hour(s) Annually Number of hours devoted during trading hours: 20 Duties: I have been asked to serve on the Board of Trustees. I will continue to serve on the women's initiative committee as well as the ADT committee so this is just an additional responsibility.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1999-12-22 |
| S65 | Uniform Investment Adviser Law Examination | 1999-12-20 |
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