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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2019-05-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank Na | Houston | TX | 11/2011 | 04/2019 |
| Wells Fargo Advisors Llc | Houston | TX | 04/2014 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Houston | TX | 11/2016 | 05/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Houston | TX | 05/2019 | Present |
| Bank Of America, N.A. | Houston | TX | 06/2019 | Present |
I*835319For profit or not for profit: Name of outside business organization: Rental Property 1Investment related: NAddress of business: Houston, Texas, 77092Nature of business: Position, title, association: Sole owner, Start date of relationship: 6/1/2022Number of hours devoted: 4 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties I*1932329, Entity Type Entity For Profit, Name of OBA: Libbey Mid-Mod LLC Address: HoustonTexas 77092 Investment Related: No Position, Title, Association: General Partner/Managing Member Employee Start Date: 07/24/2024No Hours: 5 Monthly No Hours during trading: 0 Duties: Owner that is responsible for property as well as tenant concerns that require repair.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-07-01 |
| S63 | Uniform Securities Agent State Law Examination | 2014-06-11 |
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