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Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2009-11-02 |
| DE | RA | APPROVED | 2004-09-24 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Dover | DE | 07/2004 | Present |
| Bank Of America, N.A. | Dover | DE | 07/2011 | Present |
(1) FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: DELAWARE COMMUNITY FOUNDATIONINVESTMENT RELATED: YADDRESS OF BUSINESS:100 W. 10TH ST SUITE 115WILMINGTON, DELAWARE UNITED STATES 19899NATURE OF BUSINESS: CHARITABLE ORGANIZATIONPOSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 10/1/2013NUMBER OF HOURS DEVOTED: 2 MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 2DUTIES: I WOULD SIT ON THE INVESTMENT COMMITTEE OF THE DELAWARE COMMUNITY FOUNDATION. THE INVESTMENT COMMITTEE IS A COMMITTEE OF THE BOARD WHOSE JOB IS TO EVALUATE THE INVESTMENT MANAGERS OF THE DELAWARE COMMUNITY FOUNDATION AND MAKE RECOMMENDATIONS. (2) NON PROFITHOLLY'S CLUBP O BOX 445 SMYRNA, DE 199772 HOURS MONTHLYSTART DATE: 01/01/2013DUTIES: THE HOLLY'S CLUB IS A GROUP OF WOMEN WHO RAISE MONEY LOCALLY IN THE SMYRNA-CLAYTON, DE AREA TO HELP MEMBERS OF THE COMMUNITY WHO HAVE A FINANCIAL EMERGENCY SUCH AS A FIRE, ETC. I AM MEMBER OF THE CLUB. I*93008FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: CHRIST EPISCOPAL CHURCHINVESTMENT RELATED: NADDRESS OF BUSINESS: 501 SOUTH STATE ST, DOVER, DELAWARE 19977NATURE OF BUSINESS: CHARITABLE ORGANIZATION,POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 1/4/2016NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: CHRIST EPISCOPAL CHURCH IS THE LOCAL EPISCOPAL CHURCH IN DOVER, DE. I AM HELPING THE FINANCE COMMITTEE CREATE AND WRITE AN ENDOWMENT FUND POLICY TO GOVERN EXISTING AND NEW ASSETS. I*1407288For profit or not for profit: Entity CharitableName of outside business organization: CenDel FoundationInvestment related: NAddress of business: Dover, Delaware, 19904, United StatesNature of business: ["Charitable Organization"]Position, title, association: ["Board Member"], Start date of relationship: 9/1/2023Number of hours devoted: 1 hour(s) MonthlyNumber of hours devoted during trading hours: 1Duties: , The CenDel Foundation is a community foundation for Kent County Delaware. They provide grants to non-profits in Kent County for the arts, health and human service projects and scholarships for students among many areas. My responsibility as a board member is to ensure the foundation is following appropriate procedures and guidelines for receiving and granting money. I*478951, Entity Type,Charitable Name of OBA:University of Delaware Address:Newark,Delaware,19716 Investment Related:no Position, Title, Association: Committee,Employee Start Date:10/05/2023 No Hours: 1.67 monthlyNo Hours during trading: 0Duties:Educational ServicesServe as a member of the Board of Trustees I*2739326, Entity Type: , Name of OBA: Trust u/w of L S. M FBO M D dtd 11/23/2023, Address: Smyrna, Delaware, 19977, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 09/01/2025, No Hours: 15 Yearly, No Hours during Trading: 15 Yearly, Duties: I*2739328, Entity Type: , Name of OBA: Trust u/w L S M FBO K D dtd 11/23/2023, Address: Smyrna, Delaware, 19977, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 09/01/2025, No Hours: 12 Yearly, No Hours during Trading: 12 Yearly, Duties:
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-09-23 |
| S63 | Uniform Securities Agent State Law Examination | 1998-10-22 |
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