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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2023-07-26 |
| NC | RA | APPROVED | 2002-07-22 |
| TX | RA | APPROVED_RES | 1999-12-22 |
Branch Locations
13510 Ballantyne Corporate Pl, Charlotte, NC 28277 • United States
Carbondale, CO • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Charlotte | NC | 07/1995 | Present |
| Bank Of America, Na | Charlotte | NC | 12/2009 | Present |
I*44858 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RONALD MCDONALD HOUSE - CHARLOTTE INVESTMENT RELATED: N ADDRESS OF BUSINESS: CHARLOTTE, NORTH CAROLINA 28277 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 9/1/2011 NUMBER OF HOURS DEVOTED: 4 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 2 DUTIES: TO HELP OVERSEE THE OPERATIONS OF THE HOUSE AND STAFF
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-07-16 |
| S63 | Uniform Securities Agent State Law Examination | 1995-09-20 |
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