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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2013-06-27 |
| OH | RA | APPROVED | 2012-10-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Miamisburg | OH | 08/2012 | Present |
| Bank Of America, N.A. | Miamisburg | OH | 02/2013 | Present |
I*132713For profit or not for profit: Non-Profit OrganizationName of outside business organization: Sisters of Precious BloodInvestment related: YAddress of business: Dayton, Ohio 45426Nature of business: Charitable Organization,Position, title, association: Committee Member, Start date of relationship: 8/28/2020Number of hours devoted: 2 hour(s) QuarterlyNumber of hours devoted during trading hours: 0Duties: Entity is comprised of Sisters of the Church. Purpose of entity is management of funds for the Sisters. I will be member of Investment Committee providing general advice. Entity has Investment Consultant responsible for managers and investments. I*5547272 Entity Type: N/A Name of OBA: P M TTEE MRS N M TTEE U/A DTD 08/14/2026 Address: Miamisburg, Ohio, 45342 Investment Related: No Position, Title, Association: Trustee Employee Start Date: 08/24/2026 Number of Hours: 0, Weekly Number of Hours during trading: 0, Weekly Duties: Self, Spouse
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-10-03 |
| S63 | Uniform Securities Agent State Law Examination | 1997-10-27 |
| S65 | Uniform Investment Adviser Law Examination | 1994-07-29 |
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