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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| DC | RA | APPROVED | 2023-01-23 |
| MD | RA | APPROVED | 2023-01-23 |
| TX | RA | APPROVED | 2000-08-22 |
| VA | RA | APPROVED | 1993-04-19 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | The Woodlands | TX | 01/1992 | Present |
| Bank Of America, N.A. | The Woodlands | TX | 12/2009 | Present |
I*80391 For profit or not for profit: For-Profit Organization Name of outside business organization: 943rd Edition Investment related: Y Address of business: The Woodlands, Texas 77382 Nature of business: Limited Partnership, Position, title, association: Limited Partner, Start date of relationship: 7/14/2014 Number of hours devoted: 2 hour(s) Annually Number of hours devoted during trading hours: 2 Duties: FLIP I am a limited partner I*1226291 For profit or not for profit: Entity For Profit Name of outside business organization: F-Dawg Aviation Investment related: N Address of business: The Woodlands, Texas, 77380 Nature of business: ["Limited Liability Company"] Position, title, association: ["General Partner/Managing Member"], Start date of relationship: 4/16/2023 Number of hours devoted: 1 hour(s) Weekly Number of hours devoted during trading hours: 0 Duties: , Is to hold and lease back an airplane I*1233271 For profit or not for profit: Name of outside business organization: Vivos Irrevocable Trust Investment related: N Address 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: , Fiduciary I*1317294 For profit or not for profit: Name of outside business organization: Carter H. Griffin Trust Investment related: N Address of business: Chevy Chase, Maryland, 20815 Nature of business: Position, title, association: Co-Trustee, Start date of relationship: 12/9/2022 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-04-07 |
| S63 | Uniform Securities Agent State Law Examination | 1991-08-27 |
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