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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 2021-06-11 |
Branch Locations
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 |
|---|---|---|---|---|
| Bbva Securities Inc. | Oxford | AL | 09/2014 | 06/2021 |
| Compass Bank | Birmingham | AL | 08/2014 | 06/2021 |
| Bbva Wealth Solutions Inc. | Oxford | AL | 09/2014 | 06/2021 |
| Bbva Compass Insurance Agency, Inc. | Austin | TX | 08/2014 | 06/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Anniston | AL | 06/2021 | Present |
| University Of Alabama Birmingham | Birmingham | AL | 08/2020 | Present |
| Bank Of America, N.A. | Anniston | AL | 08/2021 | Present |
I*519345 Entity Type: Charitable Name of outside business organization: Community Foundation of Northeast Alabama Investment related: No Address of business: Anniston, Alabama, 36201 Position, title, association: Committee, Board Member, Finance committee, Investment committee Start date of relationship: 10/1/2020 Number of hours devoted: 2 hours Monthly Number of hours devoted during trading hours: 1 hr Duties: The Community Foundation of Northeast Alabama is a philanthropy organization that provides scholarships and grants to community organizations, non-profits and individuals. I am a Trustee/Board Member with the organization. I*518406 For profit or not for profit: Entity For Profit Name of outside business organization: RQJ Ventures LLC Investment related: N Address of business: Anniston, Alabama, 36201 Position, title, association: Owner Start date of relationship: 11/1/2006 Number of hours devoted: 5 hours Monthly Number of hours devoted during trading hours: 0 Duties: The LLC was formed primarily for real estate investment I am 100 owner of the LLC. I*: 2796284 Entity Type: Charitable Name of OBA: Friends of the Public Library of Anniston-Calhoun County Inc Address: Anniston, AL 36201 Investment Related: No Position, Title, Association: Board member Employee Start Date: 10/01/2025 Number of Hours: 12 hrs annually Number of Hours during trading: 0 Duties: As a board member I primarily will 1) help identify financial support opportunities for the Library, 2) determine how funds should be allocated to the Library, and 3) help with quarterly book sale fundraiser. The Friends of the Library Board has no authority over the operations of the Public Library.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-09-05 |
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