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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2015-04-24 |
| IA | RA | APPROVED | 2015-04-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Davenport | IA | 07/2014 | Present |
| Bank Of America, N.A. | Davenport | IA | 11/2015 | Present |
I*13043For profit or not for profit: Name of outside business organization: Fiduciary roleInvestment related: Address of business: Davenport, Iowa 52806Nature of business: Position, title, association: , Start date of relationship: 2/18/2021Number of hours devoted: 10 hour(s) MonthlyNumber of hours devoted during trading hours: 0.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-04-17 |
| S65 | Uniform Investment Adviser Law Examination | 1999-01-11 |
| S63 | Uniform Securities Agent State Law Examination | 1997-03-13 |
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