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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2009-10-07 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Mento | OH | 09/1974 | Present |
| Bank Of America, Na | Mentor | OH | 12/2009 | Present |
I*86347 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: NEW DIRECTIONS FOR LIVING INVESTMENT RELATED: N ADDRESS OF BUSINESS: MENTOR, OHIO 44060 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 1/1/2010 NUMBER OF HOURS DEVOTED: 6 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: PRESIDENT OF THE BOARD. CHAIR MEETINGS TO OVERSEE DIRECTOR, EMPLOYEES, AND PROGRAM. I*86347 For profit or not for profit: Non-Profit Organization Name of outside business organization: WESTERN RESERVE COMMUNITY DEVELOPMENT CORP Address of business: PAINESVILLE, Ohio 44077 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 1/1/2010 Number of hours devoted: 6 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: CO-PRESIDENT OF THE BOARD. CHAIR MEETINGS TO OVERSEE DIRECTOR, EMPLOYEES, AND PROGRAM.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-10-02 |
| S63 | Uniform Securities Agent State Law Examination | 1985-09-24 |
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