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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-11-18 |
| VA | RA | APPROVED | 2024-11-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Clearing Services, Llc | Richmond | VA | 09/2021 | 04/2022 |
| Wells Fargo Bank, Na | Richmond | VA | 09/2021 | 04/2022 |
| Envestnet | Moneyguide | Powhatan | VA | 10/2014 | 09/2020 |
| Unemployed | Richmond | VA | 10/2020 | 01/2021 |
| Costar Group | Richmond | VA | 01/2021 | 09/2021 |
| Lpl Financial Llc | Richmond | VA | 05/2022 | 10/2024 |
| Newedge Advisors, Llc. | New Orleans | LA | 05/2022 | 10/2024 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Richmond | VA | 10/2024 | Present |
| Bank Of America, N.A. | Richmond | VA | 12/2024 | Present |
I*: 2071269Name of the other business Referee Society of Virginia Whether the business is investment-related No.Address of the other business Mechanicsville, VA 23116Nature of the other businessTitle, or relationship with the other business Referee, Recruitment OfficerStart date of your relationship9/2011Approximate number of hours/month you devote to the other business20Number of hours you devote to the other business during securities trading hours0Briefly describe your duties relating to the other business I referee rugby matches for high school, college and adult club teams on the weekends. I*: 2071270Name of the other business Rental PropertyWhether the business is investment-related NoAddress of the other business Richmond, VA 23223Nature of the other business Rental PropertyTitle, or relationship with the other business OwnerStart date of your relationship06/01/2023Approximate number of hours/month you devote to the other business2Number of hours you devote to the other business during securities trading hours0Briefly describe your duties relating to the other business I moved from my previous residence and later began to rent it out for income. I pay a portion of my rental income to a property manager to handle all maintenance and issues with the property. I*2100274, Entity Type: Fiduciary, Name of OBA: M R Davis, Address: Mechanicsville, VA, 23116, Investment Related: N, Position, Title, Association: Administrator, Executor, Trustee , Employee State Date: 20-Nov-2029, No Hours: 1 Weekly, No Hours during Trading: 1 Weekly, Duties: I*2177293, Entity Type: , Name of OBA: Longwood University College of Business and Economics Board, Address: Farmville, Virginia, 23909, Investment Related: N, Position, Title, Association: Board Member, Employee State Date: 04/01/2025, No Hours: 20 Yearly, No Hours during Trading: 4 Yearly, Duties: Helping further Longwood University students within their life and career aspirations, specifically beginning with the College of Business and Economics. I*: 2237267 Entity Type: Charitable Name of OBA: Todd Davis Miller Scholarship Board - Longwood University Address: Farmville, VA 23901 Investment Related: No Position, Title, Association: Committee member Employee Start Date: 03/22/2025 Number of Hours: 3 hrs annually Number of Hours during trading: o Duties: Help select scholarship recipients.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-12-14 |
| S63 | Uniform Securities Agent State Law Examination | 2012-02-28 |
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