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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-01-27 |
| MD | RA | APPROVED | 2021-04-15 |
Branch Locations
1201 Wills Street Suite 230, Baltimore, MD 21231-3805 • United States
Crownsville, MD • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Baltimore | MD | 02/2013 | 04/2021 |
| Bank Of America, N.A. | Baltimore | MD | 10/2014 | 04/2021 |
| Rbc Capital Markets, Llc | Baltimore | MD | 04/2021 | Present |
| City National Bank | Baltimore | MD | 05/2021 | Present |
(1) For profit or not for profit: Non-Profit Organization Name of outside business organization: Roland Park Place, Inc. Investment related: N Address of business: Baltimore, Maryland 21211 Nature of business: Charitable Organization, Position, title, association: Director, Start date of relationship: 2/8/2019 Number of hours devoted: 5 hour(s) Monthly Number of hours devoted during trading hours: 2 Duties: The Board of Directors is focused on governance, fiduciary responsibility, strategic direction, the quality of care and services provided, community relations and civic involvement (2) NAME OF ENTITY Roland Park Place Inc ADDRESS 830 W 40th Street Baltimore MD 21211 NOT INVESTMENT RELATED BUSINESS DESCRIPTION Not for profit Life Plan Retirement Community CAPACITY Board of Directors START DATE 02/01/2019 DUTIES I am a member of the Community Involvement, Finance, Nominating, and Philanthropy Committees and serve as the Chair of the Investment Committee. The duties of the Chair of the Investment Committee are to organize and conduct the Committee meetings in accordance with our charter and bylaws, helping the organization in ensuring that the third-party investment adviser firm is adhering to the investment policy so that Roland Park Place can use their investment funds as they best see fit HOURS DEVOTED PER MONTH 01 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH 01
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-10-31 |
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