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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| HI | RA | APPROVED | 2026-02-19 |
| TX | RA | APPROVED | 2020-01-24 |
Branch Locations
Kapolei, Oahu, HI • United States
1 Cowboys Way Suite 450, Frisco, TX 75034 • United States
6401 West Eldorado Parkway Suite 450, Mckinney, TX 75070 • United States
Mckinney, TX • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691 | Mckinney | TX | 12/2006 | 01/2020 |
| Bank Of America, Na | Mckinney | TX | 11/2009 | 01/2020 |
| Rbc Capital Markets, Llc | Dallas | TX | 01/2020 | Present |
NAME OF ENTITY: Stephen F. Austin State University ADDRESS: INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: University CAPACITY: Other START DATE: 1/1/2022 DUTIES: I sit on the Dean's Advisory Council for the College of Science and Mathematics, a non-governing board HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-05-16 |
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