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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2023-03-15 |
| PA | RA | APPROVED | 2018-11-02 |
| TX | RA | APPROVED | 2018-11-01 |
Branch Locations
200 Josephine St, Denver, CO 80206 • United States
Highlands Ranch, CO • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Vanguard Marketing Corporation | Allison Park | PA | 08/2012 | 12/2016 |
| The Vanguard Group, Inc. | Allison Park | PA | 12/2016 | 09/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Pittsburgh | PA | 09/2018 | Present |
I*2499287 Entity Type: Entity Charitable Name of OBA: Food Bank of the Rockies Address: Aurora, Colorado, 80011 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 07/01/2025 Number of Hours: 2, Monthly Number of Hours during trading: 1, Monthly Duties: Provide food/resources for those dealing with food insecurity in the colorado and surrounding areas. Board member, provide guidance and support for the cause.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-11-01 |
| S66 | Uniform Combined State Law Examination | 2003-12-01 |
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