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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-11-12 |
Branch Locations
4100 S Medford Dr, Lufkin, TX 75901 • United States
Lufkin, TX • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Company | Lufkin | TX | 12/2015 | 11/2021 |
| Principal Securities Inc | Lufkin | TX | 12/2015 | 11/2021 |
| Wayne Ramsey Financial | Lufkin | TX | 12/2020 | 11/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Lufkin | TX | 11/2021 | Present |
| Bank Of America, N.A. | Lufkin | TX | 12/2021 | Present |
***RW Planners LLC; Not Investment Related; Lufkin, TX; Owner; LLC established for tax purposes.; Start Date: 11/05/2019; 1 hrs per month; 0 during trading hours.***Sheridan LLC; Not Investment Related; Houston, TX; Owner; Owner of mineral and oil rights; Start Date: 01/01/2010; 0 hrs per month; 0 during trading hours. I*606231For profit or not for profit: Entity For ProfitName of outside business organization: RW Planners LLCInvestment related: NAddress of business: Lufkin, Texas, 75901Nature of business: ["Limited Liability Company"]Position, title, association: ["General Partner/Managing Member"], Start date of relationship: 7/10/2019Number of hours devoted: 1 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: , This entity was used for tracking my 1099 income and expenses as an independent contractor when I was employed through Principal Securities. No income will be received by the entity in the future, because all 1099 income would cease after being employed by Merrill. The entity is remaining open for the purpose of closing out the 2021 tax year. I'll evaluate what to do with the LLC in 2022. I*1844309, Entity Type, Name of OBA:M W R Testamentary Trust Address:Lufkin, TX 75904 Investment Related: No Position, Title, Association:Trustee Employee Start Date:06/01/2024 No Hours:12 yearly No Hours during trading:0 Duties:
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-04-11 |
| S63 | Uniform Securities Agent State Law Examination | 2013-07-05 |
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