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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-04-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner, & Smith Incorporated | Proxy | NC | 02/2019 | 08/2022 |
| Bank Of America, N.A. | Proxy | NC | 02/2019 | 08/2022 |
| Bank Of America | Charlotte | NC | 06/1989 | 02/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Charlotte | NC | 07/2001 | Present |
I*481507 Entity Type; Governmental Name: Dare County - Board of Elections, Investment related: No, Address: Manteo, North Carolina, Position, title, association: Other, Start date of relationship: 11/2/2021,Number of hours devoted: 30 hours Yearly, Number of hours devoted during trading hours: 20 hrs annually, Duties: Chief Judge for area precinct. Greet voters and supervise poll workers in various tasks of moving voters through the different staging areas to complete check in and voting. Follow State & Local process for voting to ensure integrity in election.. I*:Entity Type: Fiduciary RoleName of the other business: G. S. Revokable trustPosition: Trustee Investment-related: No Address: Kitty Hawk, NC.Start Date: 05/1992Approximate number of hours/month you devote to the other business Less than 1 hourNumber of hours you devote to the other business during securities trading hours: 0Briefly describe your duties relating to the other business I am named as trustee on my mother-in-law's revocable trust (activity is approved in AIM) I*1399283Entity Type: Rental PropertyName of outside business organization: Rental Property 1Investment related: No Address of business: Duck, North Carolina, 27949 Position, title, association: Co-owner with other family membersStart date of relationship: 7/25/2023Number of hours devoted: 15 hours Monthly Number of hours devoted during trading hours: 0Duties: Co-owner with other family members of rental property I*2018335Entity Type: CharitableName of OBA: Holy Redeemer Catholic ChurchAddress: Kitty Hawk, NC, 27949Investment Related: NoPosition, Title, Association: CommitteeEmployee Start Date: 10/09/2024No Hours: 12hrs AnnuallyNo Hours during trading: 8Duties: Member of church finance counsel which advises parish priest with respecting to budgeting, spending and investing. Oversight role only - I will have no access to bank accounts, actual investment vehicles and will not make individual investment decisions .I*: 2609275Entity Type: Rental Property Name of OBA: Rental Property 2Address: Southern Shores, NC 27949Investment Related: NoPosition, Title, Association: Co-owner with other family membersEmployee Start Date: 07/09/2025Number of Hours: 4 hrs wklyNumber of Hours during trading: 0 Duties: Co-owner with other family members of rental property I*5122268, Entity Type, Name of OBA: Rental Property - 28-Jul-26 - 1 Address: Kill Devil Hills North Carolina 27948 Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date: 05/01/2026 No Hours: 1 MonthlyNo Hours during trading: 0 Duties:
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-12-05 |
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