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One Federal Street 19Th Floor, Boston, MA 02110 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NM | RA | APPROVED | 2016-10-28 |
| TX | RA | APPROVED_RES | 2016-09-30 |
Branch Locations
645 East Missouri Avenue Suite 170, Phoenix, AZ 85012 • United States
400 N. Pennsylvania Ave. Suite 290, Roswell, NM 88201 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Roswell | NM | 10/1990 | Present |
| Moors & Cabot Inc | Phoenix | AZ | 09/2016 | Present |
FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: HOBBY-CARS INVESTMENT RELATED: Y ADDRESS OF BUSINESS: ROSWELL, NEW MEXICO 88201 NATURE OF BUSINESS: SOLE PROPRIETORSHIP POSITION, TITLE, ASSOCIATION: PART-TIME, START DATE OF RELATIONSHIP: 2/1/2010 NUMBER OF HOURS DEVOTED: 10 MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: CARS ARE MY HOBBY. BUY,RESTORE,REPAIR, SELL ,TRADE. I*90067 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: COMMERCIAL BUILDING HOBBS, NM INVESTMENT RELATED: N ADDRESS OF BUSINESS: HOBBS, NEW MEXICO 88240 NATURE OF BUSINESS: SOLE PROPRIETORSHIP, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 8/3/2015 NUMBER OF HOURS DEVOTED: 0 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: BUILDING OWNER
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-09-20 |
| S63 | Uniform Securities Agent State Law Examination | 1991-01-31 |
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