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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NM | RA | APPROVED | 2021-02-02 |
| TX | RA | APPROVED | 1999-09-22 |
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 | Dallas | TX | 08/1999 | Present |
| Bank Of America, N.A. | Dallas | TX | 12/2009 | Present |
I*5494269, Entity Type: Entity Charitable, Name of OBA: New Mexico State Committee of the National Museum of Women in the Arts, Address: Santa Fe, New Mexico, 87594, Investment Related: N, Position, Title, Association: ["Board Member"], Employee Start Date: 09/01/2026, No Hours: 5 Weekly, No Hours during Trading: 2 Weekly, Duties: Board Member at Large Supports Women in the Arts
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-10-11 |
| S63 | Uniform Securities Agent State Law Examination | 1996-09-04 |
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