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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2016-08-11 |
| MD | RA | APPROVED | 1994-01-31 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Towson | MD | 06/1993 | Present |
| Bank Of America,N.A. | Towson | MD | 06/2011 | Present |
I*53520 For profit or not for profit: Non-Profit Organization Name of outside business organization: St. James Church Investment related: Y Address of business: Monkton, Maryland 21111 Nature of business: Charitable Organization, Position, title, association: Committee Member, Start date of relationship: 1/2/2012 Number of hours devoted: 2 hour(s) Quarterly Number of hours devoted during trading hours: 0 Duties: help church choose advsors for endowment and monitor performance
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-10-22 |
| S63 | Uniform Securities Agent State Law Examination | 1993-09-16 |
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