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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2014-03-14 |
| VA | RA | APPROVED | 2013-02-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Virginia Beach | VA | 12/2012 | Present |
| Bank Of America, N.A. | Virginia Beach | VA | 05/2013 | Present |
I*3095271 Entity Type: Charitable Name of OBA: The River Ellis Foundation Address: Virginia Beach, Virginia, 23454 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 11/01/2025 Number of Hours: 10, Yearly Number of Hours during trading: 10, Yearly Duties: They are a community focused nonprofit organization helping those in the Hampton Roads community who have recently encountered an unexpected hardship. Quarterly board meetings
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2013-03-15 |
| S65 | Uniform Investment Adviser Law Examination | 2010-04-22 |
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