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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2026-07-22 |
| OH | RA | APPROVED | 2026-07-22 |
| TX | RA | APPROVED | 2026-07-22 |
Branch Locations
Burlington, KY • United States
3825 Edwards Rd. Suite 530, Cincinnati, OH 45209 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | Cincinnati | OH | 01/2022 | 07/2026 |
| Truist Bank | Walton | KY | 06/2015 | 01/2022 |
| Rbc Capital Markets, Llc | Cincinnati | OH | 07/2026 | Present |
(1) *OBI - 556485 - St. Henry Catholic Parish ; Investment related - No ; Elsmere, Kentucky ; Religious:Education:Civic/Community ; Finance Committee(proprietor, partner, officer, director, employee, trustee, agent) ; 7/2023 ; During business hours : 0 ; After business hours : 2 ; parent liaison between parish and school related to parish funds (2) NAME OF ENTITY: St Henry Church ADDRESS: 3813 Dixie Highway Elsmere KY 41018 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Religious Institution START DATE: Jul 03, 2023 CAPACITY: Other DUTIES: I help run Bingo which is the main fundraiser for St. Henry Parish & School. I am on the KY state gambling license for this organization. HOURS DEVOTED PER MONTH: 6 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-11-22 |
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