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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2016-01-11 |
| TX | RA | APPROVED | 2016-01-07 |
Branch Locations
Lakeside Park, KY • United States
300 Buttermilk Pike, Fort Mitchell, KY 41017 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Fort Mitchell | KY | 01/2016 | Present |
| Bank Of America, N.A. | Fort Mitchell | KY | 03/2016 | Present |
I*1397332For profit or not for profit: Name of outside business organization: YWCA CincinnatiInvestment related: NAddress of business: , , , Nature of business: Position, title, association: , Start date of relationship: Number of hours devoted: hour(s) Number of hours devoted during trading hours: Duties: , member of a committee to review current investments, collect information from the investment advisors and give any feedback to the board of directors.I*: 1991278Entity Type: Name of OBA: St. Ursula AcademyAddress: Cincinnati, OhioInvestment Related: NoPosition, Title, Association: fund raising committeeEmployee Start Date: 8/29/24Number of Hours: 4 hrs mthlyNumber of Hours during trading: 4 hrs mthlyDuties: Parent volunteer on Parent Board and school fundraiser.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-12-22 |
| S63 | Uniform Securities Agent State Law Examination | 1995-12-01 |
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