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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2010-09-28 |
| AR | RA | APPROVED | 2009-12-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Fort Smith | AR | 09/2009 | Present |
| Bank Of America, N.A. | Fort Smith | AR | 12/2009 | Present |
ALL FAMILY-OWNED, NOT INV RELATED: I*23598 FOR-PROFIT ORGANIZATION NAME: SUGAR HILL FARM, INC INVESTMENT RELATED: N ADDRESS OF BUSINESS: FORT SMITH, ARKANSAS 0 POSITION, : OFFICER, START DATE : 1/1/1992 NUMBER OF HOURS: 5 HOUR(S) MONTHLY NUMBER OF HOURS DURING TRADING HOURS: 2 DUTIES: OFFICER DIRECTOR/BOARD MEMBER/MANAGER I*79204 NON-PROFIT ORGANIZATION NAME: UNIVERSITY OF ARKANSAS INVESTMENT RELATED: N ADDRESS OF BUSINESS: FAYETTEVILLE, ARKANSAS 72701 POSITION: START DATE OF RELATIONSHIP: 01/01/2014 NUMBER OF HOURS DEVOTED: 16 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 8 DUTIES: CAMPAIGN ARKANSAS. ONE OF 100+ VOLUNTEERS SUPPORTING THE UNIVERSITY'S CAMPAING TO RAISE CAPITAL, SCHOLARSHIP AND FACULTIY SUPORT FUNDS. WILL ALSO CHAIR THE ALUMNI ASSOCIATION SUBCOMMITTEE. I*55310 NON-PROFIT ORGANIZATION NAME: JOHN BROWN UNIVERSITY INVESTMENT RELATED: N ADDRESS OF BUSINESS: SILOAM SPRINGS, ARKANSAS 72761 POSITION: TRUSTEE, START DATE OF RELATIONSHIP: 7/1/2012 NUMBER OF HOURS DEVOTED: 30 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 20 DUTIES: BOARD OF TRUSTESS FOR THIS NONDENOMIATIONAL UNIVERSITY I*440720 Entity Charitable Name : Fort Smith Regional Art Museum Investment related: N Address of business: Fort Smith, Arkansas, 72901 Position: Treasurer, Board Member Start date of relationship: 1/1/2022 Number of hours devoted: 3 hour(s) Monthly Number of hours devoted during trading hours: 2 Duties: , Regional Art Museum to promote visual arts and local and regional artists and provide art education.. My responsibilities will be set policy and monitor adherence, promote events, strategic planning and appraise director on his role and recruit board I*1258268 Entity For Profit Name: SUGAR HILL FARM, INC Investment related: N Address of business: Fort Smith, Arkansas, 72917 Nature of business: Corporation Position, title, association: Officer, Director, Owner Start date of relationship: 4/17/2023 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 2 Duties: , This is a real estate holding company that owns farm land as well as oil and gas mineral interests both working interests and royalty interest I*: 1966288 Entity Charitable Name of OBA: Fort Smith Regional Art Museum Address: Fort Smith, AR Investment Related: No Position, Title, Association: Board Member Employee Start Date: 08/20/2024 Number of Hours: 2 hrs mthly Number of Hours during trading: 1 hr mthly Duties: Fort Smith Regional Art Museum champions art in our community by providing enriching experiences that are accessible for all. Th Spirit of art unites us. I*1966288, Entity Type: Entity Charitable, Name of OBA: Fort Smith Regional Art Museum, Address: Fort Smith, Arkansas, 72901, Investment Related: N, Position, Title, Association: Board Member, Officer, Employee State Date: 08/20/2024, No Hours: 2 Monthly, No Hours during Trading: 1 Monthly, Duties: Champions art in our community by providing enriching experiences that are accessible for all. The spirit of art unites. Organize, chair meetings for the board of directors and provide policy guidance to staff I*2578284, Entity Type: Entity Charitable, Name of OBA: J W Family Enterprise Center, Address: Fort Smith, Arkansas, 72901, Investment Related: N, Position, Title, Association: Board Member, Employee State Date: 08/20/2024, No Hours: 5 Yearly, No Hours during Trading: 2 Yearly, Duties: Advisory board for the JWFEC. JWFEC provides a forum for family owned businesses, their owners and advisors to share information and gain knowledge in operating a family owned business Advisory board to advise on programs, speakers, other items as required
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-12-04 |
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