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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2021-02-24 |
| TX | RA | APPROVED | 1999-07-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Dallas | TX | 07/1999 | Present |
| Bank Of America, Na | Dallas | TX | 12/2009 | Present |
I*77919FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: COLT MOTORSINVESTMENT RELATED: NADDRESS OF BUSINESS:IRVING, TEXAS 75038NATURE OF BUSINESS: CORPORATION,POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 4/1/2006NUMBER OF HOURS DEVOTED: 40 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: OWNER OF COMPANY, BUYING / SELLING CARS FOR FRIENDS AND FAMILY
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-10-04 |
| S63 | Uniform Securities Agent State Law Examination | 1991-11-13 |
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