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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2018-05-25 |
Branch Locations
6801 S Fry Rd, Katy, TX 77494 • United States
8102 W Grand Pkwy S, Richmond, TX 77406 • United States
1622 S Mason Rd, Katy, TX 77450 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Axa-Advisors, Llc | New York | NY | 08/2016 | 04/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Houston | TX | 04/2018 | Present |
| Bank Of America, N.A. | Houston | TX | 04/2018 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-02-28 |
| S63 | Uniform Securities Agent State Law Examination | 2016-09-16 |
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