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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2007-09-14 |
| VA | RA | APPROVED | 1992-10-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Roanoke | VA | 06/1991 | Present |
| Bank Of America, N.A. | Roanoke | VA | 11/2009 | Present |
I*31212FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: MONEY PIT MOTORSPORTSINVESTMENT RELATED: NADDRESS OF BUSINESS: SALEM, VIRGINIA 24153NATURE OF BUSINESS: LLC,POSITION, TITLE, ASSOCIATION: OFFICER, START DATE OF RELATIONSHIP: 12:00:00 AMNUMBER OF HOURS DEVOTED: 20 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: OWNER DRIVER, OWNER, LEASOR(2)FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: TURN ONE PROPERTIES, LLCINVESTMENT RELATED: NADDRESS OF BUSINESS:SALEM, VIRGINIA UNITED STATES 24153NATURE OF BUSINESS: LLC POSITION, TITLE, ASSOCIATION: OWNER, OWNERSTART DATE OF RELATIONSHIP: 10/15/2013NUMBER OF HOURS DEVOTED: 6 ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: TO HOLD PERSONALLY OWNED REAL ESTATE (NON-RESIDENTIAL)I*67714For profit or not for profit: For-Profit OrganizationName of outside business organization: Turn One Properties, LLCInvestment related: NAddress of business:Moneta, Virginia 24121Nature of business: LLC,Position, title, association: Family Held, Start date of relationship: 10/15/2013Number of hours devoted: 6 hour(s) AnnuallyNumber of hours devoted during trading hours: 0Duties: To hold and rent personally owned real estate (non-residential)I*71512For profit or not for profit: For-Profit OrganizationName of outside business organization: The Management Institute of Roanoke CollegeInvestment related: NAddress of business:Salem, Virginia 24153Nature of business: Leadership development and educational services,Position, title, association: Other, Steering CommitteeStart date of relationship: 1/22/2019Number of hours devoted: 6 hour(s) AnnuallyNumber of hours devoted during trading hours: 0Duties: Networking and community representationI*364266For profit or not for profit: Entity For ProfitName of outside business organization: Double Apex Holdings Ltd DBA Money Pit MotorsportsInvestment related: NAddress of business: OBA, OBA, OBANature of business: ["Limited Liability Company"]Position, title, association: ["Officer","Treasurer"], Start date of relationship: 43655Number of hours devoted: 20 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: , OWNER DRIVER, OWNER, LEASORI*1497281For profit or not for profit: Name of outside business organization: Waverly Neighborhood HOAInvestment related: NAddress of business: , , , Nature of business: Position, title, association: , Start date of relationship: Number of hours devoted: hour(s) Number of hours devoted during trading hours: Duties: , Review and approve annual HOA budgetI* 2934290Entity Type: N/AName of OBA:M.S.G. Revocable TrustAddress:San Juan Capistrano CaliforniaInvestment Related:NoPosition, Title, Association:TrusteeStart Date:11/01/2025No Hours: 1 YearlyNo Hours during trading:0 YearlyDuties:Trustee for NephewI*: 2934292 Entity Type: Name of OBA: MSG Estate Address: San Juan Capistrano,California 92675 Investment Related: n Position, Title, Association: Executor Employee Start Date: 11/01/2025 No Hours: 0 No Hours during trading:0 Duties: I*: 2934293 Entity Type: POA Name of OBA: MSG Address: San Juan Capistrano California 92675 Investment Related: n Position, Title, Association: POA Employee Start Date: 11/01/2025 No Hours: 1hr/yr No Hours during trading:0 Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-10-01 |
| S63 | Uniform Securities Agent State Law Examination | 1990-12-21 |
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