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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2010-02-16 |
| TN | RA | APPROVED | 2004-09-16 |
Branch Locations
2 disclosure categories 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 : 7691 | Knoxville | TN | 09/2004 | Present |
| Bank Of America, N.A. | Knoxville | TN | 06/2011 | Present |
I*795252 For profit or not for profit: Entity For Profit Name of outside business organization: VMW Partnership Investment related: N Address of business: Knoxville, Tennessee, 37922 Nature of business: ["General Partnership"] Position, title, association: ["Other"], Start date of relationship: 6/1/2021 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Wife & daughters own partnership (rental house); I help manage rental house/cash flow, maintain income & expenses of rental house owned by wife & daughters 50% PARTNER IN G&S PARTNERSHIP, AN INVESTMENT PARTNERSHIP. 33% PARTNER IN HEALTHCARE COMPUTER SYSTEMS, A COMPUTER HARDWARE AND SOFTWARE SALES COMPANY. DIRECTOR AND SECRETARY OF CER-WAT CORPORATION, A DISTRIBUTOR OF WATER FILTRATION EQUIPMENT. TRUSTEE FOR THE WAYNE TRUST, A FAMILY TRUST. TRUSTEE FOR THE ALREAD PLAN, A RETIREMENT PLAN. LICENSED AGENT IN THE STATE OF TENNESSEE TO SALE LIFE AND HEALTH INSURANCE. LICENSED AS AN AFFILIATE REAL ESTATE BROKER IN THE STATE OF TENNESSEE TO SALE REAL ESTATE. HEALTHCARE COMPUTER SYSTEMS NO LONGER IN BUSINESS NO LONGER AN OFFICER OF CERWAT CORPORATION NO LONGER HOLD A REAL ESTATE LISENCE I*40732 For profit or not for profit: For-Profit Organization Name of outside business organization: Walker Brothers General Partnership Investment related: Y Address of business: Johnson City, Tennessee 37604 Nature of business: General Partnership, Position, title, association: Family Held, Start date of relationship: 6/1/2010 Number of hours devoted: 5 hour(s) Monthly Number of hours devoted during trading hours: 1 Duties: Partner with brothers owning land inherited from my mother and investments here at Merrill Lynch
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-04 |
| S63 | Uniform Securities Agent State Law Examination | 1994-11-18 |
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