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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2023-08-01 |
| TX | RA | APPROVED | 2018-04-10 |
| IL | RA | APPROVED | 1998-04-12 |
Branch Locations
3700 N Capital Of Texas Hwy, Austin, TX 78746 • 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 | Austin | TX | 06/1991 | Present |
| Bank Of America, N.A. | Austin | TX | 02/2012 | Present |
I*: 439610 Entity Type: For Profit Name of OBA: K Capital Family LLC Address: Conifer, CO 80433 Investment Related: No Position, Title, Association: General Partner/Managing Member Employee Start Date: 07/21/2011 Number of Hours: Number of Hours during trading: Duties: The entity was created in conjunction with our Family LP as an estate planning vehicle. I*: 439611 Entity Type: For Profit Name of OBA: K Capital Family LP Address: Conifer, CO 80433 Investment Related: No Position, Title, Association: General Partner/Managing Membe Employee Start Date: 7/21/2011 Number of Hours: 2 hrs wkly Number of Hours during trading: 2 hrs wkly Duties: This is my family LP which houses our liquid investment assets
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-08-12 |
| S63 | Uniform Securities Agent State Law Examination | 1991-08-20 |
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