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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2017-10-11 |
| NC | RA | APPROVED | 2014-10-07 |
| TX | RA | APPROVED | 2013-07-30 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Charlotte | NC | 03/2012 | Present |
| Bank Of America, N.A. | Charlotte | NC | 09/2012 | Present |
I*462 For profit or not for profit: Governmental or Public Purpose Entity Name of outside business organization: United States Marine Corps Investment related: N Address of business: Buffalo, New York 14201 Nature of business: Inactive Ready Reserve, Position, title, association: Captain, Start date of relationship: 9/20/2007 Number of hours devoted: 4 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: US Military Reserve I*3769 For profit or not for profit: Governmental or Public Purpose Entity Name of outside business organization: United States Marine Corps Investment related: N Address of business: New Orleans, Louisiana 40114 Nature of business: Marine Reserves, Position, title, association: Captain, Start date of relationship: 11/30/2007 Number of hours devoted: 0 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Infantry Officer
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-08-02 |
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