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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2004-04-14 |
| TX | RA | APPROVED_RES | 1999-12-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Duluth | GA | 05/1981 | Present |
| Bank Of America, N.A. | Alpharetta | GA | 06/2011 | Present |
I*75644 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: PEACHTREE CORNERS BAPTIST CHURCH INVESTMENT RELATED: N ADDRESS OF BUSINESS: 4480 PEACHTREE CORNERS CIRCLE, NORCROSS, GEORGIA 30092 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 10/26/2014 NUMBER OF HOURS DEVOTED: 3 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: I HAVE BEEN ELECTED AS AN ELDER FOR OUR CHURCH. THE TERM IS FOR THREE YEARS. OUR ELDER BOARD IS COMPOSED OF NINE PEOPLE WITH ROTATING TERMS OF THREE YEARS EACH. MY RESPONSIBILITY IS OVERSIGHT WITH NO CHECK WRITING AUTHORITY. I*1890277 Entity For Profit Name of OBA: Alumni Club-421 Queen City LLC Address: Tuscaloosa, Alabama, 35401 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 07/01/2024 No Hours: 8 No Hours during trading: 0 Duties: Dining Club, Asked to join the inaugural Board of Governors
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-09-15 |
| S63 | Uniform Securities Agent State Law Examination | 1981-06-10 |
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