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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2006-06-30 |
| OH | RA | APPROVED | 1999-08-19 |
Branch Locations
159 Crocker Park Blvd, Westlake, OH 44145 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Cleveland | OH | 08/1992 | Present |
| Bank Of America,Na | Cleveland | OH | 12/2009 | Present |
I*77800FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: BOAT DOCKINVESTMENT RELATED: NADDRESS OF BUSINESS: WHISKEY ISLAND DRIVE, CLEVELAND, OHIO NATURE OF BUSINESS: OTHER,PERSONAL NAMEPOSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 12/1/2008NUMBER OF HOURS DEVOTED: 1 HOUR(S) QUARTERLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: PERSONAL DOCK THAT I RENT WHEN I DONT HAVE A BOAT. I*: 2060272 Entity Type: Entity For Profit Name of OBA: DUKER 11 LLC Address: Shaker Heights, OH Investment Related: No Position, Title, Association: General Partner/Managing Membe Employee Start Date: 10/23/2024 Number of Hours: 3 hrs mthly Number of Hours during trading: 0 Duties:2 family rental. Rent units. Maintenance when applicable
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-09-16 |
| S63 | Uniform Securities Agent State Law Examination | 1993-10-28 |
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