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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2005-09-30 |
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 | Houston | TX | 09/2005 | Present |
| Bank Of America, Na | Houston | TX | 01/2010 | Present |
I*117323 For profit or not for profit: Non-Profit Organization Name of outside business organization: Houston Livestock Show & Rodeo Address of business: Houston, Texas 77054 Nature of business: Charitable Organization, Position, title, association: Committee Member, Start date of relationship: 9/18/2018 Number of hours devoted: 20 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: HLSR Lamb & Goat Auction Committee. Purpose of the committee is to raise money both thru pre-sales as well as the livestock auction during the rodeo for the general scholarship/education fund. I* 2116370, Entity Type: Entity Charitable Name of OBA: Eyes On Me Inc. Address: Houston, Texas, 77092, United States Investment Related: No Position, Title, Board Member Employee Start Date: 12/15/2024. No Hours: 4 hrs. monthly No Hours during trading: 0 Duties: It is a non-profit entity that seeks to provide guidance and counseling to at-risk youth in the greater Houston area. I will be serving on their board in purely an advisory capacity.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-01-20 |
| S63 | Uniform Securities Agent State Law Examination | 1994-11-02 |
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