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Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2018-07-05 |
| WV | RA | APPROVED | 2015-02-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| United Bank | Charleston | WV | 06/1999 | Present |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Charleston | WV | 02/2015 | Present |
| Bank Of America, N.A. | Charleston | WV | 04/2015 | Present |
(1)UNITED BANK,CHAS.WV:WEALTH MGN/DIRECTOR CHIEF INVESTMENT OFFICER,FULL/TIME START 06/15/1999,INVESTMENT RELATED. KANAWHA ROXALANA CO.,CHAS.WV: VP,ESTATE MGN CO. 5HRS MTHLY. (2)I*78854 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: KANAWHA-ROXALANA COMPANY INVESTMENT RELATED: Y ADDRESS OF BUSINESS: CHARLESTON, WEST VIRGINIA 25314 NATURE OF BUSINESS: S-CORP, POSITION, TITLE, ASSOCIATION: OFFICER, START DATE OF RELATIONSHIP: 12/17/1999 NUMBER OF HOURS DEVOTED: 5 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 2 DUTIES: FAMILY LAND COMPANY THAT PURCHASES AND SELLS COMMERCIAL PROPERTIES AND NEGOCIATES LEASES IN THE CHARLESTON MSA. I WORK WITH THE PRESIDENT (MY FATHER) AND A PROPERTY MANAGEMENT AGENT TO EVALUATE REAL ESTATE INVESTMENTS AND NEGOCIATE LEASES. I*79746 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: CAMC FOUNDATION INVESTMENT RELATED: Y ADDRESS OF BUSINESS: CHARLESTON, WEST VIRGINIA 25304 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 1/1/2014 NUMBER OF HOURS DEVOTED: 4 HOUR(S) QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 4 DUTIES: SERVE ON THE BOARD OF THE HOSPITAL FOUNDATION AND AS CHAIR OF THE INVESTMENT COMMITTEE.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-02-11 |
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