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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2017-01-09 |
| TX | RA | APPROVED_RES | 2000-02-04 |
| IL | RA | APPROVED | 1998-04-12 |
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 | Chicago | IL | 06/1995 | Present |
| Bank Of America, N.A. | Chicago | IL | 09/2009 | Present |
I*112162For profit or not for profit: Non-Profit OrganizationName of outside business organization: St Xavier High School Investment CommitteeAddress of business:Cincinnati, Ohio 45224Nature of business: Other,private high schoolPosition, title, association: Committee Member, Start date of relationship: 2/9/2018Number of hours devoted: 2 hour(s) MonthlyNumber of hours devoted during trading hours: 2Duties: serve on investment committee to review performance and investment objectives of investment portfolio to ensure financial needs of school are met no investment recommendations are provided from committee.I*2556261, Entity Type: , Name of OBA: N T. R, Address: Sarasota, Florida, 37243, Investment Related: N, Position, Title, Association: Executor, Employee State Date: 06/16/2025, No Hours: 20 Yearly, No Hours during Trading: 0 Yearly, Duties:I*, 2703263Entity Type: CharitableName of OBA: National Underground Railroad Freedom CenterAddress: Cincinnati, Ohio 45202Investment Related: NoPosition, Title, Association: Board MemberEmployee Start Date: 08/29/2025No Hours: 24hrs monthlyNo Hours during trading: 0 Duties: The National Underground Railroad Freedom Center is a museum of conscience, an education center, a convener of dialogue, and a beacon of light for inclusive freedom around the globe. The National Underground Railroad Freedom Center is the preeminent cultural learning center for inclusive freedom - locally, nationally and globally. I was asked to be a member of the board of directors at the Freedom Center to help guide the museum into the future. I*3448268 Entity Type: Name of OBA: j A. K Address: Venice, Florida, 34292 Investment Related: No Position, Title, Association: Executor Employee Start Date: 01/05/2026 Number of Hours: 40, Monthly Number of Hours during trading: 0, Monthly Duties: Aunt
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-12-27 |
| S63 | Uniform Securities Agent State Law Examination | 1995-12-01 |
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