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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2019-11-05 |
| NM | RA | APPROVED | 2019-10-30 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwesternmutual Investment Services, Llc | Albuquerque | NM | 07/2007 | 03/2018 |
| Bradley E Justice | Albuquerque | NM | 01/2012 | 03/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Albuquerque | NM | 03/2018 | Present |
I*1351254For profit or not for profit: Name of outside business organization: Atletico NM Futbol ClubInvestment related: NAddress of business: OBA, OBA, OBANature of business: Position, title, association: , Start date of relationship: Number of hours devoted: hour(s) Number of hours devoted during trading hours: Duties: , Team Manager for my Son's club soccer team
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-10-25 |
| S63 | Uniform Securities Agent State Law Examination | 2006-01-17 |
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