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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2009-01-08 |
| NM | RA | APPROVED | 2005-05-11 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Albuquerque | NM | 04/2000 | Present |
I*123676 For profit or not for profit: For-Profit Organization Name of outside business organization: Southern Works Investment related: N Address of business: Edgewood, New Mexico 87015 Nature of business: Family Business, Position, title, association: Owner, Start date of relationship: 7/25/2019 Number of hours devoted: 80 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: I would like to open an Etsy store for homemade quilts and craft items for sales I*128182 For profit or not for profit: For-Profit Organization Name of outside business organization: Ruth Shrader Investment related: N Address of business: Edgewood, New Mexico 87015 Nature of business: Family Business, Position, title, association: Family Held, Start date of relationship: 12/6/2019 Number of hours devoted: 30 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Christmas Toffee making
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-05-09 |
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