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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2007-01-19 |
| AL | RA | APPROVED | 2005-06-24 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Birmingham | AL | 03/2005 | Present |
| Bank Of America, Na | Birmingham | AL | 12/2009 | Present |
I*25521FOR-PROFIT ORGANIZATIONNAME: BREAST CANCER RESEARCH FOUNDATION OF ALABAMAINVESTMENT RELATED: NADDRESS OF BUSINESS: UAB COMPREHENSIVE CANCER CENTER, 1824 6TH AVENUE SOUTH, NP 2504BIRMINGHAM, ALABAMA 35294NATURE OF BUSINESS: CHARITABLE ORGANIZATION,POSITION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 1/1/2007NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: DIRECTOR/BOARD MEMBER RAISE MONEY FOR BREAST CANCER RESEARCH I*80517FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME: MATTERHORN CAPITAL, LLCINVESTMENT RELATED: NADDRESS OF BUSINESS:BIRMINGHAM, ALABAMA 35223NATURE OF BUSINESS: LLC,POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 4/20/2015NUMBER OF HOURS DEVOTED: 10 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: THIS IS A HOLDING COMPANY WITH MY FATHER AND BROTHER TO INVEST IN RURAL URGENT CARE FACILITIES I*134597For profit or not for profit: For-Profit OrganizationName of outside business organization: Matterhorn Capital II, LLCInvestment related: YAddress of business:Birmingham, Alabama 35213Nature of business: LLC,Position, title, association: Owner, Start date of relationship: 11/9/2020Number of hours devoted: 1 hour(s) QuarterlyNumber of hours devoted during trading hours: 0Duties: This is an LLC vehicle for my brother and myself, to then invest in Janus Materials . This is the exact same structure as my existing Matterhorn Capital, LLC. I*1448267For profit or not for profit: Entity For ProfitName of outside business organization: Chestnut Hills Holdings LLCInvestment related: NAddress of business: Birmingham, Alabama, 35213, United StatesNature of business: ["Limited Liability Company"]Position, title, association: ["General Partner/Managing Member"], Start date of relationship: 8/24/2023Number of hours devoted: 5 hour(s) YearlyNumber of hours devoted during trading hours: 0Duties: , This is a single member LLC for me to participate in real estate investments. All investments will be cleared through AIM as a Private Investment prior to purchase. For example, I will be using this entity to buy into the BrookCliff Fund, already approv OBA ID: 478876OBA Name: Hickory Hills CorporationLocation: Florence, ALInvestment Related Activity: NoRole: Committee, Officer, SecretaryStart Date: 4/14/2018Duties: Family S Corp that owns farm landI*4525303Entity Type: Entity CharitableName of OBA: mountain brook city schools foundationAddress: birmingham, Alabama, 35213Investment Related: NoPosition, Title, Association: Board MemberEmployee Start Date: 08/03/2026Number of Hours: 1, MonthlyNumber of Hours during trading: 0, MonthlyDuties: raise funds for the mountain brook city schools board member I*4675293 Entity Type: Entity For Profit Name: Cypress Land Company Address: Birmingham, Alabama, 35213 Investment Related: No Position: General Partner/Managing Member Start Date: 07/15/2026 Hours: 5, Monthly Hours during trading: 0 Duties: I am creating a single member LLC to purchase farm land that is in close proximity to Hickory Hills farm personal/hunting/will lease some of the land to a farmer to row crop I*4525303 Entity Type: Charitable Name: mountain brook city schools foundation Address: Birmingham, Alabama, 35213 Investment Related: No Position: Board Member Start Date: 08/03/2026 Hours: 1, Monthly Hours during trading: 0 Duties: Raise funds for the mountain brook city schools board member I*5055267, Entity Type: , Name of OBA: ONeal Comprehensive Cancer Center Advisory Board, Address: Birmingham, Alabama, 35233, Investment Related: N, Position: board member , Employee Start Date: 08/12/2026, No Hours: 1 Monthly, No Hours during Trading: 1 Monthly, Duties: serve as a board member and advocate for the CCC raise money and awareness for the ONeal CCC and advise on potential direction of the CCC
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-06-23 |
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