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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2002-07-31 |
| TX | RA | APPROVED_RES | 2002-07-12 |
Branch Locations
312 Walnut St Pbig - Cincinnati, Cincinnati, OH 45202 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Cincinnati | OH | 07/2002 | Present |
| Bank Of America, N.A. | Cincinnati | OH | 12/2009 | Present |
I*85787FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: YWCAINVESTMENT RELATED: NADDRESS OF BUSINESS:CINCINNATI, OHIO 45202NATURE OF BUSINESS: CHARITABLE ORGANIZATION,POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 10/5/2015NUMBER OF HOURS DEVOTED: 3 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: LOOKING TO PARTICIPATE ON ON THE INVESTMENT COMMITTEE AND RESIGN FROM THE PROGRAM EVALUATION COMMITEE. THIS IS NOT A BOARD POSITION.I*111631For profit or not for profit: Non-Profit Organization, Name of outside business organization: YWCA of Greater CincinnatiAddress of business:Cincinnati, Ohio 45202Nature of business: Charitable Organization,Position, title, association: Committee Member, Start date of relationship: 1/22/2018Number of hours devoted: 1 hour(s) QuarterlyNumber of hours devoted during trading hours: 0Duties: be a committee member on the finance committee with review capacity only of budget and spending projects with other volunteer committee members. I*137653For profit or not for profit: For-Profit OrganizationName of outside business organization: Eighty Degrees LLCInvestment related: NAddress of business:Naples, Florida 34108Nature of business: LLC,Position, title, association: Family Held, Start date of relationship: 1/1/2021Number of hours devoted: 2 hour(s) AnnuallyNumber of hours devoted during trading hours: 0Duties: We own real estate in Florida. We are not renting now, but may in the future. Our attorney recommended we put it into a LLC.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-05-22 |
| S63 | Uniform Securities Agent State Law Examination | 1991-11-25 |
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