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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2025-02-14 |
| CA | RA | APPROVED | 2024-10-25 |
| NM | RA | APPROVED | 2022-04-15 |
| SC | RA | APPROVED | 2020-09-24 |
| NC | RA | APPROVED | 2014-09-17 |
| TX | RA | APPROVED | 2014-09-16 |
Branch Locations
2301 Se Monterey Rd, Stuart, FL 34996 • United States
4023 Finn Way, Lexington, KY 40517 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Charlotte | NC | 07/2014 | Present |
I* 1776307 For profit or not for profit: Entity For Profit Name of outside business organization: Cattle Investment related: no Address of business: Vaughn, NM, 88435 Nature of business: Limited Liability Company Position, title, association: Owner Start date of relationship: 04/02/2024 Number of hours devoted: 1 yearly Number of hours devoted during trading hours: 0 Duties: Owner I*5004271, Entity Type: , Name of OBA: R W Estate, Address: Lexington, Kentucky, 40511, Investment Related: N, Position, Title, Association: Executor, Employee Start Date: 07/20/2026, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-09-16 |
| S63 | Uniform Securities Agent State Law Examination | 2013-12-19 |
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