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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VA | RA | APPROVED | 2020-12-02 |
| TX | RA | APPROVED_RES | 2001-01-29 |
| DC | RA | APPROVED | 1995-08-27 |
Branch Locations
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 | Washington | DC | 06/1993 | Present |
| Bank Of America, Na | Washington | DC | 09/2009 | Present |
I*126805For profit or not for profit: Non-Profit OrganizationName of outside business organization: Active MindsInvestment related: NAddress of business: Washington, District of Columbia 20009Nature of business: Charitable Organization,Compensation for Activity: NPosition, title, association: Committee Member, Start date of relationship: 8/5/2019Number of hours devoted: 5 hour(s) AnnuallyNumber of hours devoted during trading hours: 0Duties: To be on the Active Minds Host Committee Member for the Casino Night in MD. It is the organizations largest fundraiser. I*1920293, Entity Type, Non-Profit, Name of OBA: Reverse Rett, Address: Trumbull, CT, 06611, Investment Related: No, Position, Title, Association: Committee Member, Employee Start Date: 08/02/2024, No Hours: 1hr/Mo, No Hours during trading: 1, Duties: Fund raising for their Gala.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-07-06 |
| S63 | Uniform Securities Agent State Law Examination | 1993-09-17 |
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