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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2012-11-08 |
| OH | RA | APPROVED | 2012-06-07 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Columbus | OH | 07/2011 | Present |
| Bank Of America, N.A. | Zanesville | OH | 08/2011 | Present |
I*43952FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: MOUNT VERNON NAZARENE UNIVERSITYINVESTMENT RELATED: NADDRESS OF BUSINESS: 800 MARTINSBURG ROAD, MOUNT VERNON, OHIO 43055NATURE OF BUSINESS: OTHER, NON FOR PROFIT UNIVERSITYPOSITION, TITLE, ASSOCIATION: PART-TIME, START DATE OF RELATIONSHIP: 39295NUMBER OF HOURS DEVOTED: 16 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: PART TIME MARKETING INSTRUCTOR IN EVENING CLASSES. ADULT EDUCATION, NO INVESTMENT INFORMATION IS EVER DISCUSSED. I ALREADY SUBMITTED SYLLABUS TO COMPLIANCE I*4516286 Entity Type: N/A Name of OBA: The Energy Co-Operative Address: Newark, Ohio, 43055 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 05/15/2026 Number of Hours: 4, Monthly Number of Hours during trading: 4, Monthly Duties: Electricity and Natural gas distribution Board oversite Expected responsibilities: -Strategy and policy guidance for the cooperative -Rulemaking and governance of policies for members -Evaluating performance of management
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-06-05 |
| S63 | Uniform Securities Agent State Law Examination | 2011-09-09 |
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