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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MO | RA | APPROVED | 2016-12-16 |
Branch Locations
7676 Forsyth Blvd, Clayton, MO 63105 • United States
1 Cowboys Way, Frisco, TX 75034 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Saint Lousi | MO | 07/2016 | Present |
| Bank Of America, N.A. | Saint Louis | MO | 08/2016 | Present |
Entity Name: Character Plus Investment related: Yes Address: St. Louis, MO 63146 Nature of the other business: The non-profit organization focuses on helping educators and students achieve academic success through character development inside and outside the classroom. Position/Title/Relationship: Director Start Date: 2/2/15Approximate # of hours a month: 1 hour qtrly Approximate # of hours during securities hours: 1 hr qtrly Briefly describe your duties: Executive Advisory Board member and I participate on the Finance Committee Entity Name: Saint Louis Development Corporation Investment related: No Address: St. Louis, Missouri 63103Nature of the other business: N/A Position/Title/Relationship: Board Member for LCRA, PIEA and EEZ; all three are economic development boards run by SLDC on behalf of the City of St. Louis. Start Date: 29-Jul-2014Approximate # of hours a month: Two years Hours during trading: 1 hour mthly Briefly describe your duties: Attend board meetings and vote on various matters aimed at increasing economic development in the City of St. Louis. I*124627 For profit or not for profit: Non-Profit Name of outside business organization: Webster University Investment related: No Address of business: Webster Groves, Missouri 63119Charitable Organization, Trustee, 9/19/2019Number of hours devoted: 4 hours Qtrly Number of hours devoted during trading hours: 2 I've been asked to serve on the Board of Trustees.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-12-15 |
| S63 | Uniform Securities Agent State Law Examination | 1999-12-28 |
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