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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2020-10-12 |
Branch Locations
800 Green Valley Rd, Greensboro, NC 27408 • United States
620 S Tryon St, Charlotte, NC 28255 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Greensboro | NC | 02/2020 | Present |
| Carruthers & Roth, Pa | Greensboro | NC | 06/2004 | 01/2020 |
I*130180 For profit or not for profit: For-Profit Organization Name of outside business organization: L&P Construction Services, Inc. Investment related: N Address of business: Greensboro, North Carolina 27408 Nature of business: S-Corp, Position, title, association: Family Held, Start date of relationship: 1/1/2007 Number of hours devoted: 0 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: As disclosed during the Bank's interview process, L&P is my husband's construction company and he handles all of the business--I'm generally not involved. I*130179 For profit or not for profit: For-Profit Organization Name of outside business organization: Thomas Lee Ltd. Investment related: N Address of business: Greensboro, North Carolina 27408 Nature of business: S-Corp, Position, title, association: Family Held, Start date of relationship: 5/17/2018 Number of hours devoted: 5 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: As disclosed during the Bank's hiring process, my husband and I own Thomas Lee Ltd., which is an online bedding retailer. My husband handles most of the business. Hill Street LLC not investment related, Sunset Drive, Greensboro, NC 27408, LLC that we use to hold real estate from time to time but currently has no assets, Manager, June 2009, none, none, none. Name of other Business: N/A - we own the house in our individual names so there is no entity involved Investment related (yes or no): No, unless a rental house counts as such Business address: Hill Street, Greensboro, NC 27408 Nature of business: rental home Position/title: N/A we own it in our individual names Relationship with business: we own the rental house Start date of relationship: I think we bought it around 2009 or 2010 Number of hours a month devoted to business: none Number of hours during securities trading hours devoted to business: none Description of duties: none
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-10-08 |
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