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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2016-11-15 |
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 |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Dallas | TX | 08/2011 | 11/2016 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 11/2016 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Dallas | TX | 11/2016 | Present |
| Bank Of America, N.A. | Dallas | TX | 11/2016 | Present |
I*120085 For profit or not for profit: For-Profit Organization Name of outside business organization: Self-Author Investment related: N Address of business: 8715 wingate drive, dallas, Texas 75209 Nature of business: Other,This would be income to self Compensation for Activity: Y Position, title, association: Part-Time, Author Start date of relationship: 1/28/2019 Number of hours devoted: 10 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Submitting book-novel to various publishers. This novel is about my childhood and dynamics in my family including the death of 3 of my six siblings due to abuse in our family. This novel does not mention my work in the financial services area. I*131768 For profit or not for profit: Non-Profit Organization Name of outside business organization: DALLAS RESOURCE CENTER Investment related: Address of business: DALLAS, Texas 75235 Nature of business: Charitable Organization, Compensation for Activity: Position, title, association: Committee Member, Start date of relationship: 6/30/2020 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: LEFT BOARD OF DIRECTORS BUT WANT TO CONTINUE ON A COMMITTEE WHICH IS FUNDRAISING I*1169251 For profit or not for profit: Name of outside business organization: LAMBDA LEGAL Investment related: N Address of business: , , Nature of business: Position, title, association: , Start date of relationship: Number of hours devoted: hour(s) Number of hours devoted during trading hours: Duties: , Fundraising Campaign Committe work
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-11-28 |
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