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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NV | RA | APPROVED | 2023-08-01 |
| TX | RA | APPROVED_RES | 2011-01-20 |
| ND | RA | APPROVED | 2001-07-23 |
Branch Locations
51 Broadway N, Fargo, ND 58102 • United States
Henderson, NV • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Fargo | ND | 09/1993 | Present |
| Bank Of America, N.A. | Fargo | ND | 11/2009 | Present |
I*101786 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: DIOCESE OF FARGO INVESTMENT RELATED: Y ADDRESS OF BUSINESS: FARGO, NORTH DAKOTA 58104-7605 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: START DATE OF RELATIONSHIP: 02/07/2017 NUMBER OF HOURS DEVOTED: 3 HOUR(S) QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 2 DUTIES: MEMBER OF INVESTMENT COMMITTEE - ATTEND QUARTERLY MEETINGS WITH THE CURRENT CONSULTANT FOR A PORTFOLIO REVIEW AND TO MAKE SUGGESTIONS TO THE DIOCESAN FINANCE COMMITTEE FOR THEIR FURTHER EVALUATION. I*2109344, Entity Type: Fiduciary, Name of OBA: J M L, Address: Phillipsburg, New Jersey, 08865, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 29-Nov-2024, No Hours: 1 Yearly, No Hours during Trading: 0 Yearly, Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-02-21 |
| S63 | Uniform Securities Agent State Law Examination | 1994-03-29 |
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