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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-04-04 |
| AL | RA | APPROVED | 2022-11-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Alps Distributors, Inc | Denver | CO | 11/2019 | 10/2022 |
| Ligon Industries, Llc | Birmingham | AL | 03/2011 | 10/2019 |
| Vulcan Value Partners Llc | Birmingham | AL | 10/2019 | 10/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Birmingham | AL | 10/2022 | Present |
| Bank Of America, N.A. | Birmingham | AL | 12/2022 | Present |
Entity Type: Not for profitName of outside business organization: CFA Society of AlabamaInvestment related: NoAddress of business: Birmingham, Alabama, 35209,Position, title, association Board MemberStart date of relationship: 7/1/2020Number of hours devoted: 4 hrsNumber of hours devoted during trading hours: 0Duties: Plan social activities and continuing education opportunities for CFA Society members. For profit or not for profit: Not for profitName of outside business organization: HOPE InternationalInvestment related: NoAddress of business: Pennsylvania, 17601,Position, title, association Local board memberStart date of relationship: 9/1/2013Number of hours devoted: 8 hrsNumber of hours devoted during trading hours: 0Duties: I am a member of the local advisory board. Responsibilities are to help with planning for the annual meeting and provide guidance to the local HOPE representative. I*: 2843264Entity Type: GovernmentalName of OBA: Birmingham-Jefferson County Port AuthorityAddress: Birmingham, AL 35203Investment Related: NoPosition, Title, Association: Board MemberEmployee Start Date: 11/03/2025Number of Hours: 3 hrs mthlyNumber of Hours during trading: 1 hr mthlyDuties: Serve as board member, attend monthly/quarterly board meetings, provide oversight of executive director and vote on initiatives brought forth by the executive director. I*4035265, Entity Type: Entity For Profit, Name of OBA: ABC Holdings, LLC, Address: Birmingham, Alabama, 35216, Investment Related: N, Position, Title, Association: Owner, Employee Start Date: 06/30/2026, No Hours: 2 Weekly, No Hours during Trading: 0 Weekly, Duties: Board seat. Otherwise Passive owner. Holding company that will purchase a waste dumpster business.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2020-06-19 |
| S66 | Uniform Combined State Law Examination | 2005-07-19 |
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