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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2022-01-14 |
Branch Locations
1123 Military Cutoff Rd, Wilmington, NC 28405 • United States
620 S Tryon St, Charlotte, NC 28255 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bank Of America, N.A. | Wilmington | NC | 04/2008 | Present |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Wilmington | NC | 05/1995 | 05/2019 |
| Bofa Securities, Inc. | Wilmington | NC | 05/2019 | Present |
I*3058276 Entity Type: For Profit Name of OBA: Rockport At West Bay Estates HOA Address: Wilmington, North Carolina, 28401 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 10/23/2025 Number of Hours: 2, Monthly Number of Hours during trading: 1, Monthly Duties: home owners association for residential property
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-12-16 |
| S63 | Uniform Securities Agent State Law Examination | 2019-11-25 |
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