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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2019-05-09 |
| PA | RA | APPROVED | 2015-01-15 |
| CA | RA | APPROVED | 2011-11-18 |
| NJ | RA | APPROVED | 2007-01-18 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Dallas | TX | 09/2004 | Present |
| Bank Of America, N.A. | Dallas | TX | 05/2025 | Present |
I*1519272For profit or not for profit: Entity For ProfitName of outside business organization: Miller 5 Ventures, LLCInvestment related: YAddress of business: Prosper, Texas, 75078, United StatesNature of business: ["Limited Liability Company"]Position, title, association: ["Officer","General Partner/Managing Member"], Start date of relationship: 10/13/2023Number of hours devoted: 2 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: , This is a holding company for purchase of rental properties. I*2606302, Entity Type non for profit, Name of OBA: Notre Dame Club of Dallas, TX Address: DallasTexas 75240 Investment Related: No Position, Title, Association: board member Employee Start Date: 07/21/2025 No Hours: 20 yearly No Hours during trading: 0 Duties: Strategic planning for events and programs for Dallas, Promote the brand of Notre Dame and connect alumni back to the University I*2605302, Entity Type for profit , Name of OBA: Irish Angles, Inc. Address: ChicagoIllinois60606 Investment Related: No Position, Title, Association: active investor Employee Start Date: 08/04/2025 No Hours:10 yearly No Hours during trading: 0 Duties: passive investing only. Only Notre Dame alumni can participate. Early stage investment only. No business or operating influence or activity.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-01-17 |
| S65 | Uniform Investment Adviser Law Examination | 1996-07-25 |
| S63 | Uniform Securities Agent State Law Examination | 1995-12-14 |
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