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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2008-10-17 |
Branch Locations
13135 Dairy Ashford Rd, Sugar Land, TX 77478 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Houston | TX | 10/2008 | Present |
| Bank Of America, N.A. | Houston | TX | 07/2011 | Present |
I*1938279, Entity Type, Entity for Profit, Name of OBA: third Stone/Rock Band/ studio musician, Address: Houston, TX, 77077, Investment Related: No, Position, Title, Association: Guitar Player, Employee Start Date: 12/12/2016, No Hours: 10hrs/Mo, No Hours during trading: 0, Duties: I play guitar for a rock cover band and I do some studio musician work. At times I may be paid directly by the bar or venue that I play. in addition I may do some studio work for local artist.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-06-25 |
| S63 | Uniform Securities Agent State Law Examination | 1994-09-30 |
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