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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-08-22 |
| IN | RA | APPROVED | 2022-06-15 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| John Gartner | Vincennes | IN | 01/2007 | Present |
| Kolb Roellgen & Traylor Llp | Vincennes | IN | 09/2017 | 11/2018 |
| Old National Bank | Evansville | IN | 11/2018 | 03/2022 |
| Merrill Lynch | Evansville | IN | 04/2022 | Present |
| Bank Of America, N.A. | Evansville | IN | 06/2022 | Present |
Nicholas J Gartner; not investment-related; Vincennes IN, family farm; owner; 2018 start date; 10 hours per month; zero hours devoted during trading hours; I help my father on our family farm as well as farming 70 acres myself. I*1984260 , Entity Type, Name of OBA:Northampton Condominium Association Address:Evansville,Indiana,47711 Investment Related: no Position, Title, Association:Director Employee Start Date: 09/15/2024 No Hours: 3 yearly No Hours during trading: 0 Duties:Association governs 32 homes in the area, one of which I live in. Association is responsible for collecting HOA fees and approving annual budget. I will serve as Secretary with no financial responsibility or access to funds.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-04-13 |
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