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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-01-07 |
| MT | RA | APPROVED | 2019-11-27 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Billings | MT | 08/2019 | Present |
| Baker Hughes | Cheyenne | WY | 09/2017 | 08/2019 |
| Baker Hughes | Great Falls | MT | 02/2016 | 09/2017 |
| Bank Of America, N.A. | Billings | MT | 09/2019 | Present |
I*1004317 For profit or not for profit: Entity Charitable Name of outside business organization: Billings Catholic Schools Foundation Investment related: N Address of business: OBA, OBA, OBA Nature of business: ["School, College or University"] Position, title, association: ["Board Member"], Start date of relationship: 9/1/2023 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , The entity's purpose is to provide for the long term success of the Billings Catholic Schools. Responsibilities I will perform include, being a Board member and a member on the Investment committee. Merrill Lynch does not manage any of their assets. There is not any compensation for the position and I will not have any access to the funds. The investment committee positions is strictly an oversight role to apply adherence to the investment policy statement. As a board member, I will be apart of an 18 person committee to oversee the mission of the foundation. Our responsibility is to protect the trust and assure that activities are directed toward the accomplishment of the objectives of the organization. A key responsibility of the board is to maintain objectivity and avoid any appearance of conflict of interest that might adversely affect the Billings Catholic Schools Foundation. I*1549267 For profit or not for profit: Name of outside business organization: Investment related: N Address of business: Centennial, Colorado, 80122, United States Nature of business: Position, title, association: Power of Attorney, Start date of relationship: 10/24/2023 Number of hours devoted: 1 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: ,
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-11-25 |
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