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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2009-10-23 |
| TX | RA | APPROVED | 2009-10-23 |
Branch Locations
5775 N Sam Houston Pkwy W, Houston, TX 77086 • United States
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 | Houston | TX | 10/2009 | Present |
| Bank Of America, Na | Houston | TX | 10/2009 | Present |
I*2032292, Entity Type Fiduciary, Name of OBA: DM Address: Houston, Texas, 77069 Investment Related: Yes Position, Title, Association: Power of Attorney Employee Start Date: Oct-03-2024 No Hours: 2 yearly No Hours during trading: 2 yearly Duties: I*: 2221280 Entity Type: Charitable Name of OBA: Huntwick Civic Association Address: Houston, TX 77069-4403 Investment Related: No Position, Title, Association: Director Employee Start Date: 03/04/2025 Number of Hours: 1 hr wkly Number of Hours during trading: 1 hr wkly Duties: The neighborhood Civic Association where I live.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-09-26 |
| S63 | Uniform Securities Agent State Law Examination | 1992-11-16 |
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