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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2002-07-23 |
| TX | RA | APPROVED_RES | 1996-07-19 |
Branch Locations
13510 Ballantyne Corporate Pl, Charlotte, NC 28277 • 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 | Charlotte | NC | 02/1993 | Present |
| Bank Of America, Na | Charlotte | NC | 12/2009 | Present |
I*30534 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: KINGDADDY-MUSICAL GROUP INVESTMENT RELATED: N ADDRESS OF BUSINESS: 126 WINNER'S CIRCLE, FORT MILL, SOUTH CAROLINA 29716 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: OFFICER, START DATE OF RELATIONSHIP: 12:00:00 AM NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: TREASURER
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-07-20 |
| S63 | Uniform Securities Agent State Law Examination | 1993-04-22 |
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