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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2013-02-08 |
| SC | RA | APPROVED | 2009-10-23 |
Branch Locations
1604 E Main St, Spartanburg, SC 29307 • United States
Taylors, SC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Greenville | SC | 10/2009 | Present |
I*10977 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: WINDY SHORES II MULTIPLE OWNERS ASSOCIATION INVESTMENT RELATED: NO ADDRESS OF BUSINESS: NORTH MYRTLE BEACH, SC 29582 NATURE OF BUSINESS: CORPORATION POSITION, TITLE, ASSOCIATION: OFFICER, START DATE OF RELATIONSHIP: 11/6/2001 NUMBER OF HOURS DEVOTED: 3 HOURS QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: TIMESHARE MULTIPLE OWNER ASSOCIATION FOR WINDY SHORES II PROPERTY; MY POSITION IS VICE PRESIDENT; HOWEVER, ALL FINANCIAL TRANSACTIONS ARE HANDLED BY DEFENDER MGMT CO AND AUDITIED BY AN OUTSIDE AUDITING FIRM; I DO NOT PERFORM ANY ACTUAL TRANSACTIONS. I*10978 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: WINDY SHORES II WHOLE OWNERS ASSOCIATION INVESTMENT RELATED: NO ADDRESS OF BUSINESS: NORTH MYRTLE BEACH, SC 29582 NATURE OF BUSINESS: CORPORATION POSITION, TITLE, ASSOCIATION: OFFICER START DATE OF RELATIONSHIP: 2/16/2008 NUMBER OF HOURS DEVOTED: 3 HOURS QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: WHOLE OWNERS ASSOCIATION FOR WINDY SHORES II; MY DUTIES ARE AS A GENERAL OFFICER OF THE BOARD AND NO SPECIFIC DUTIES
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-06-30 |
| S63 | Uniform Securities Agent State Law Examination | 1993-11-03 |
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