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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2025-10-03 |
| TX | RA | APPROVED | 2009-10-23 |
Branch Locations
100 N Tryon St Business Banking, Charlotte, NC 28255 • United States
1803 Broadway St Business Banking, San Antonio, TX 78215 • United States
100 Federal St Merrill Edge - Consumer Banking, Boston, MA 02110 • United States
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 | 10/2009 | Present |
I*1428259, Entity Type Entity For Profit, Name of OBA: Trinity University Address: San AntonioTexas78212 Investment Related: No Position, Title, Association: Board Member,Other Employee Start Date: 11/01/2023No Hours: 20 yearly No Hours during trading:0 Duties:The Board of Visitors is comprised of a diverse group of 36 people who offer social and cultural characteristics to compliment the student body. At times during the year I may be called on to give my input and perspective on potential new initiatives and programs, or assist in searches and interviews of future faculty or top administrators.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-08-26 |
| S63 | Uniform Securities Agent State Law Examination | 1995-09-22 |
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