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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2015-08-17 |
| VA | RA | APPROVED | 2014-08-22 |
| CA | RA | APPROVED | 2007-09-18 |
Branch Locations
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 | Lynchburg | VA | 09/2007 | Present |
| Bank Of America, N.A. | Lynchburg | VA | 09/2009 | Present |
I*122596 For profit or not for profit: Non-Profit Organization Name of outside business organization: Liberty University Investment related: N Address of business: Lynchburg, Virginia 24502 Nature of business: Corporation, Position, title, association: Other, Professor Start date of relationship: 5/13/2019 Number of hours devoted: 16 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: online and or residential adjunct professor- Financial Planning limit of 4-6 hrs a week
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-01-12 |
| S63 | Uniform Securities Agent State Law Examination | 1992-03-23 |
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