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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2017-08-17 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Houston | TX | 03/2017 | Present |
| Berings | Houston | TX | 11/2016 | 12/2016 |
| Unemployed | Houston | TX | 05/2016 | 10/2016 |
| Unemployed | Houston | TX | 01/2017 | 02/2017 |
| Bank Of America, N.A. | Houston | TX | 07/2017 | Present |
I*2168283, Entity Type: Entity Charitable, Name of OBA: Houston Heights Woman's Club, Address: Houston, Texas, 77008, Investment Related: N, Position, Title, Association: Committee, Employee State Date: 01/17/2025, No Hours: 20 Yearly, No Hours during Trading: 0 Yearly, Duties: Serving as Co-Chairman for the HHWC Founders Day reception. I*3953269 Entity Type: Entity Charitable Name of OBA: Houston Heights Woman's Club Address: Houston, Texas, 77008 Investment Related: No Position, Title, Association: Committee Employee Start Date: 03/05/2026 Number of Hours: 20, Yearly Number of Hours during trading: 0, Yearly Duties: To offer educational programs, social events and opportunities to make a positive impact through charitable activities focusing on women and children. I am requesting approval to participate in the Founders Day Committee. This event is to recognize a local law school student with a scholarship, in tribute to women who have made contributions for the betterment of women's causes.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-08-15 |
| S65 | Uniform Investment Adviser Law Examination | 2006-09-25 |
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