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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2007-07-13 |
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 | Flower Mound | TX | 07/2007 | Present |
| Bank Of America, Na | Flower Mound | TX | 12/2009 | Present |
I*468079 For profit or not for profit: Entity Governmental Name of outside business organization: Denton County Housing Finance Corporation Investment related: N Address of business: Denton, Texas, 76201 Nature of business: Position, title, association: ["Board Member"], Start date of relationship: 12/22/2014 Number of hours devoted: 1.67 hour(s) Monthly Number of hours devoted during trading hours: 1.67 Duties: , Provides low cost loans for housing assistance Governance
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-09-28 |
| S63 | Uniform Securities Agent State Law Examination | 1995-05-15 |
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