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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2012-06-15 |
| NM | RA | APPROVED | 2009-10-23 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Albuquerque | NM | 10/2009 | Present |
| Bank Of America, Na | Albuquerque | NM | 10/2009 | Present |
I*2833264Entity Type: N/AName of OBA: Rental Property 1Address:Albuquerque New MexicoInvestment Related:NoPosition, Title, Association:Sole ownerStart Date:09/09/2025No Hours: 2 MonthlyNo Hours during trading:1 MonthlyDuties:N/A I*2994264 Entity Type: N/A Name of OBA: Albuquerque Metropolitan Alumni Panhellenic Address: Albuquerque, New Mexico, 87110 Investment Related: No Position, Title, Association: N/A Employee Start Date: 11/04/2025 Number of Hours: 4, Monthly Number of Hours during trading: 0, Monthly Duties: Fundraising to provide scholarships for College Women in The UNM Greek System Participating in fundraising activities
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-10-04 |
| S63 | Uniform Securities Agent State Law Examination | 1994-09-06 |
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