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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-04-30 |
| CO | RA | APPROVED | 2015-10-07 |
| TX | RA | APPROVED_RES | 2007-02-28 |
| MO | RA | APPROVED | 2007-02-23 |
Branch Locations
1630 S Lindbergh Blvd, Frontenac, MO 63131 • United States
Edwards, CO • United States
Cardiff, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith | Ladue | MO | 02/2007 | Present |
| Bank Of America, Na | Ladue | MO | 04/2010 | Present |
I*470601 For profit or not for profit: Entity Governmental Name of outside business organization: Arrowhead Metro District Investment related: N Address of business: Edwards, Colorado, 81632, United States Nature of business: ["Governmental Organization"] Position, title, association: ["Board Member"], Start date of relationship: 2/24/2021 Number of hours devoted: 60 hour(s) Yearly Number of hours devoted during trading hours: 12 Duties: , Road improvement and maintenance in neighborhood. Represent neighbors in making decisions on roads. I*132347 For profit or not for profit: For-Profit Organization Name of outside business organization: Craft Ventures LLC Investment related: N Address of business: Edwards, Colorado 81632 Nature of business: LLC, Position, title, association: Owner, Start date of relationship: 8/16/2020 Number of hours devoted: 8 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Craft Ventures is run by Chef. We are looking to become up to 40% owner with him. Current restaurant is Craftsman in Edwards, Colorado. I*2150257, Entity Type: , Name of OBA: J D H Revocable Trust Dated April 17, 2007, Address: Edwards, CO, 81632, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 17-Apr-2007, No Hours: 4 Yearly, No Hours during Trading: 4 Yearly, Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-11-01 |
| S63 | Uniform Securities Agent State Law Examination | 1992-03-09 |
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