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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2015-09-28 |
| OH | RA | APPROVED | 1999-08-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Dublin | OH | 02/1993 | Present |
| Bank Of America,Na | Dublin | OH | 08/2009 | Present |
I*39264FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: THE UNVERFERTH HOUSE, INC.INVESTMENT RELATED: NADDRESS OF BUSINESS: 190 K AVE., COLUMBUS, OHIO 43201NATURE OF BUSINESS: CHARITABLE ORGANIZATION,POSITION, TITLE, ASSOCIATION: DIRECTOR, START DATE OF RELATIONSHIP: 1/1/2009NUMBER OF HOURS DEVOTED: 100 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 6DUTIES: CHARITY THAT PROVIDES FREE HOUSING TO FAMILY MEMBERS OF PATIENTS AT THE OHIO STATE UNVERSITY MEDICAL CENTER. I*3316267, Entity Type: , Name of OBA: D C, Address: Port St. Lucie, Florida, 34952, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 12/16/2015, No Hours: 1 Yearly, No Hours during Trading: 1 Yearly, Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-03-24 |
| S63 | Uniform Securities Agent State Law Examination | 1993-10-11 |
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