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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NM | RA | APPROVED | 1988-08-26 |
| TX | RA | APPROVED_RES | 1985-03-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Albuquerque | NM | 08/1980 | Present |
| Bank Of America, N.A. | Albuquerque | NM | 09/2009 | Present |
I*495065 For profit or not for profit: Name of outside business organization: House Investment related: N Address of business: Albuquerque, New Mexico, 87112, United States Nature of business: Position, title, association: Sole owner, Start date of relationship: 1/4/2010 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: ,
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-08-06 |
| S63 | Uniform Securities Agent State Law Examination | 1981-03-05 |
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