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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MS | RA | APPROVED | 2004-10-06 |
| LA | RA | APPROVED | 2004-02-05 |
| TX | RA | APPROVED_RES | 1998-09-01 |
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 | Baton Rouge | LA | 09/1998 | Present |
| Bank Of America,Na | Baton Rouge | LA | 11/2009 | Present |
I*91092 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: ST JAMES EPISCOPAL CHURCH VESRTY INVESTMENT RELATED: N ADDRESS OF BUSINESS: 205 N 4TH ST., BATON ROUGE, LOUISIANA 70802 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 1/1/2015 NUMBER OF HOURS DEVOTED: 50 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 12 DUTIES: ADVISE RECTOR ABOUT THE TEMPORAL AFFAIRS OF THE CHURCH
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-12-10 |
| S63 | Uniform Securities Agent State Law Examination | 1981-08-07 |
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