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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| DC | RA | APPROVED | 2022-10-04 |
| FL | RA | APPROVED | 2022-09-27 |
| AR | RA | APPROVED | 2022-09-26 |
| SC | RA | APPROVED | 2022-09-26 |
| TX | RA | APPROVED | 2022-09-26 |
| VA | RA | APPROVED | 2022-09-26 |
Branch Locations
1700 M Street Nw 5Th Floor, Washington, DC 20036 • United States
Hilton Head Island, SC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Washington | DC | 06/1994 | Present |
| Bank Of America,Na | Washington | DC | 09/2009 | 09/2022 |
| Ubs Financial Services | Washington | DC | 09/2022 | Present |
1) Name of Business: The Old Guard association./ Address: P.O. Box 1785 Fort Myer VA United States 22211./ Investment Related: No./ Nature: "To establish a permanent organization and further develop the common bond existing between all who have served with the 3d United States Infantry Regiment (The Old Guard). To maintain public records and publish the history and achievements of The Old Guard. To be of assistance and service in matters pertaining to veterans of The Old Guard. To perpetuate the memory of our deceased veterans of The Old Guard. To maintain close liaison with the active duty members of The Old Guard currently serving in the National Capital Region. To recognize outstanding Old Guard achievements with appropriate presentations. To publish a newsletter titled PRIDE to further TOGA's mission./ Role: Officer./ Duty: Finance Officer. assist the treasurer as needed./ Start Date: 1/15/2024./ Time Required: N/A.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-08-25 |
| S63 | Uniform Securities Agent State Law Examination | 1994-08-17 |
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