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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2020-11-30 |
| KY | RA | APPROVED | 2012-03-20 |
| OH | RA | APPROVED | 2012-03-13 |
| TX | RA | APPROVED_RES | 2012-03-07 |
Branch Locations
5905 E Galbraith Rd, Cincinnati, OH 45236 • United States
Cincinnati, OH • United States
St Helena, SC • United States
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 | Cincinnati | OH | 02/2012 | Present |
| Bank Of America, N.A. | Fort Mitchell | KY | 04/2012 | Present |
I*: 2237281 Entity Type: Rental Property Name of OBA: Rental Property 1 Address: Beaufort, SC 29920 Investment Related: No Position, Title, Association: Sole owner Employee Start Date: 02/01/2025 Number of Hours: 1 hr mthly Number of Hours during trading: 0 Duties: owner of rental property
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1998-08-26 |
| S65 | Uniform Investment Adviser Law Examination | 1998-08-26 |
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