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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2016-03-23 |
| KY | RA | APPROVED | 2007-03-20 |
| OH | RA | APPROVED | 2003-04-23 |
Branch Locations
300 Buttermilk Pike, Fort Mitchell, KY 41017 • 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 Inc. | Fort Mitchell | KY | 04/2003 | Present |
| Bank Of America,Na | Fort Mitchell | KY | 12/2009 | Present |
I*1304257 For profit or not for profit: Name of outside business organization: Go Norse Fund Investment related: N Address of business: OBA, OBA, OBA Nature of business: Position, title, association: , Start date of relationship: Number of hours devoted: hour(s) Number of hours devoted during trading hours: Duties: , The Go Norse Fund is the fundraising arm of Northern Kentucky University's Department of Intercollegiate Athletics. In collaboration with the members of the GNF Board and the NKU Foundation, the GNF is responsible for raising the necessary funds to suppor
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-04-20 |
| S63 | Uniform Securities Agent State Law Examination | 2000-04-11 |
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