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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2025-06-11 |
| OH | RA | APPROVED | 2025-04-18 |
| TX | RA | APPROVED | 2025-04-17 |
Branch Locations
221 East 4Th Street Atrium Building, Cincinnati, OH 45202 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Cincinnati | OH | 10/1991 | 04/2025 |
| Morgan Stanley Smith Barney Llc | Cincinnati | OH | 04/2025 | Present |
(1) HTS - Hagood Trucking Services / Not Investment Related / Williamsburg, OH / Sole Proprietorship / Family Held / Start 01-May-2002 / 10 hours devoted monthly / 0 during trading / HTS is a transportation business where my husband is the sole owner. HTS transports rock and sand in an 18-wheeler in the Greater Cincinnati area. My primary role is as bookkeeper and I receive no compensation from this role. *640334- Rodan and Fields; Investment related-No; San Francisco, California; Retail/Online Stores; Brand Affiliate (proprietor, partner, officer, director, employee, trustee, agent); 08/2012; During business hours: 0; After business hours: 5; Sales/Marketing. (3) Fiduciary / KJH / Williamsburg, OH / Not Investment Related / Power of Attorney / Start 23-Nov-2007 / 0 hours. (4) Fiduciary / KJH / H Family Trust / Williamsburg, OH / Not Investment Related / Co-Trustee, Executor / Start 09-Sep-2024 / 0 hours. (5) Fiduciary / KH / Williamsburg, OH / Not Investment Related / Executor / Start 09-Sep-2024 / 0 hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-03-14 |
| S63 | Uniform Securities Agent State Law Examination | 1994-08-06 |
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