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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2020-12-10 |
| TX | RA | APPROVED_RES | 2009-01-22 |
| KY | RA | APPROVED | 2009-01-09 |
Branch Locations
101 Bullitt Ln, Louisville, KY 40222 • United States
Lanesville, IN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Louisville | KY | 01/2009 | Present |
| Bank Of America, N.A. | Louisville | KY | 10/2013 | Present |
I*21507 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: GUISEPPI & DOM INC DBA COME BACK INN INVESTMENT RELATED: N ADDRESS OF BUSINESS: 415 SPRING ST, JEFFERSONVILLE, INDIANA 47130 NATURE OF BUSINESS: S-CORP, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 12:00:00 AM NUMBER OF HOURS DEVOTED: 20 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: CO-OWNER
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-30 |
| S63 | Uniform Securities Agent State Law Examination | 1998-02-09 |
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