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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-03-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Equitable Advisors, Llc | New York | NY | 01/2023 | 10/2024 |
| Unemployed | Austin | TX | 05/2022 | 01/2023 |
| United States Gold Bureau | Leander | TX | 03/2021 | 05/2022 |
| Andon Specialties, Inc. | Houston | TX | 05/2017 | 02/2021 |
| Industrial Equipment Co. | Beaumont | TX | 02/2013 | 05/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Austin | TX | 02/2025 | Present |
| Unemployed | Buda | TX | 11/2024 | 01/2025 |
| Bank Of America, N.A. | Austin | TX | 03/2025 | Present |
I*: 2929361Entity Type: CharitableName of OBA: Louisiana State University - Austin Alumni AssociationAddress: Austin, TX 78731Investment Related: NoPosition, Title, Association: Board MemberEmployee Start Date: 05/01/2024Number of Hours: 3 hrs mthlyNumber of Hours during trading: 0 Duties: I am the Membership Chairman as of September 2025. My job is to onboard new members, make them aware of the advantages of their membership, and encourage them to become involved with the organization. I had originally joined as the Sponsorship Chairman in May 2024. I resigned that role because of potential conflicts of interest involving soliciting donations from possible future prospects and/or clients. I*4966267, Entity Type: , Name of OBA: Estate of D L. T, Address: Hemphill, Texas, 75948, Investment Related: N, Position, Title, Association: Executor, Employee Start Date: 11/25/2025, No Hours: 3 Monthly, No Hours during Trading: 0 Monthly, Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-11-25 |
| S63 | Uniform Securities Agent State Law Examination | 2023-04-26 |
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