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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2001-02-09 |
| IN | RA | APPROVED | 1998-12-15 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Evansville | IN | 05/1993 | Present |
| Bank Of America, N.A. | Evansville | IN | 11/2009 | Present |
Status: APPRVD I*133822 For profit or not for profit: For-Profit Organization Name of outside business organization: Fairmont Heritage Place Investment related: No Address of business: Miramar Beach, Florida 32250 Nature of business: Limited Partnership Position, title, association: Advisory Board Member Start date of relationship: 10/15/2020 Number of hours devoted: 2 hours Monthly Number of hours devoted during trading hours: 1 Duties: Board of a real estate property where I own a fractional unit. Board discuss budget and management issues connected to the property. I*: 2199272 Entity Type: For Profit Name of OBA: General Signals Address: Evansville, IN 47715 Investment Related: No Position, Title, Association: Owner Employee Start Date: 3/1/2025 Number of Hours: 2 hrs mthly Number of Hours during trading: 0 Duties: Board Member
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-08-01 |
| S63 | Uniform Securities Agent State Law Examination | 1993-07-13 |
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