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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VI | RA | APPROVED | 2017-07-31 |
| TX | RA | APPROVED_RES | 2011-08-16 |
| IA | RA | APPROVED | 2003-04-01 |
| NE | RA | APPROVED | 2001-11-30 |
Branch Locations
St. Thomas, VI • United States
5143 Palm Psge Charlotte Amalie, Charlotte Amalie, VI 00802 • United States
13321 California St, Omaha, NE 68154 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Lincoln | NE | 07/1993 | Present |
| Bank Of America,N.A. | Charlotte Amalie | VI | 06/2011 | Present |
I*104318 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: WEST POINT ASSOCIATION OF GRADUATES INVESTMENT RELATED: NO ADDRESS OF BUSINESS: WEST POINT, NEW YORK 10996 POSITION, TITLE, ASSOCIATION: OTHER, ASKED TO SERVE AS TELEPHONE FUNDRAISER START DATE OF RELATIONSHIP: 4/9/2017 NUMBER OF HOURS DEVOTED: 10 HOURS ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: I'VE BEEN ASKED TO REACH OUT TO APPROXIMATELY 25 ACADEMY CLASSMATES TO SOLICIT FINANCIALS GIFTS TO THE U.S. MILITARY ACADEMY AS PART OF OUR 35TH REUNION. I WILL BE CONTACTING ONLY INDIVIDUALS WHOM I HAVE KNOWN PERSONALLY FOR OVER 34 YEARS. I*4998267 Entity Type: Fiduciary role Name of OBA: I. G. E. Address: St Thomas, VI, 802 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 07/24/2026 Number of Hours: 1, Monthly Number of Hours during trading: 0 Duties: Power of Attorney/Child/Grandchild
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-10-22 |
| S63 | Uniform Securities Agent State Law Examination | 1993-04-05 |
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