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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MD | RA | APPROVED | 2024-05-10 |
| TX | RA | APPROVED_RES | 2024-05-10 |
Branch Locations
128 N Bond St Suite 501, Bel Air, MD 21014 • 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 | Bel Air | MD | 04/2002 | 05/2024 |
| Bank Of America,N.A. | Bel Air | MD | 06/2011 | 05/2024 |
| Rbc Capital Markets, Llc | Bel Air | MD | 05/2024 | Present |
(1) I*45863 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: COMMUNITY FOUNDATION OF HARFORD COUNTY INVESTMENT RELATED: N ADDRESS OF BUSINESS: 124 NORTH MAIN STREET, BEL AIR, MARYLAND 21014 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: DIRECTOR, START DATE OF RELATIONSHIP: 10/7/2011 NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: BOARD MEMBER. ALSO, MEMBER OF THE INVESTMENT SUB-COMMITTEE. (2) NAME OF ENTITY: Greater Harford Committee ADDRESS: 25 W. Courtland St., Bel Air, MD 21014 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Trade Association START DATE: 01/04/2014 CAPACITY: Officer DUTIES: I am Chairman of the Greater Harford Committee. This is a group of about 50 business people formed to be a voice of the business community in Harford County, MD and to work with local elected officials. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours (3) NAME OF ENTITY: Greater Bel Air Community Foundation ADDRESS: P.O. Box 412 Bel Air Maryland 21014 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: 01/07/2010 CAPACITY: Board of Directors DUTIES: Board member of a community foundation in my town and office's town. Raise money and vote on granting to other non-profits. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours (4) NAME OF ENTITY: University Of Maryland Upper Chesapeake Health System, Inc. ADDRESS: 500 Upper Chesapeake Drive Bel Air MD 21014 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: Sep 03, 2026 CAPACITY: Board of Directors DUTIES: Board Member for their Foundation. Fundraising. HOURS DEVOTED PER MONTH: not sure HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: not sure
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-07-14 |
| S63 | Uniform Securities Agent State Law Examination | 1993-07-07 |
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