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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TN | RA | APPROVED | 2020-12-11 |
| KY | RA | APPROVED | 2010-09-17 |
| TX | RA | APPROVED_RES | 2010-09-17 |
| OH | RA | APPROVED | 2008-09-26 |
Branch Locations
300 Buttermilk Pike, Fort Mitchell, KY 41017 • United States
Lafoilette, TN • 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 | 09/2008 | Present |
| Bank Of America, N.A. | Cincinnati | OH | 12/2009 | Present |
I*105851 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: ALLIANCE FOR CATHOLIC URBAN EDUCATION INVESTMENT RELATED: N ADDRESS OF BUSINESS: COVINGTON KENTUCKY, KENTUCKY 41011 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 6/1/2017 NUMBER OF HOURS DEVOTED: 4 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 1 DUTIES: ADVISORY BOARD MEMBER/
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-03-18 |
| S63 | Uniform Securities Agent State Law Examination | 1991-07-25 |
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