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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 1995-02-21 |
| TX | RA | APPROVED_RES | 1994-01-05 |
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 | Louisville | KY | 05/1981 | Present |
| Bank Of America, N.A. | Louisville | KY | 12/2009 | Present |
1.FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION 2.NAME OF OUTSIDE BUSINESS ORGANIZATION: PHILLIP B GROSS 3.INVESTMENT RELATED: Y 4.ADDRESS OF BUSINESS: LOUISVILLE, KENTUCKY 40245 6.POSITION, TITLE, ASSOCIATION: OTHER, GENERAL BROKERAGE 7.START DATE OF RELATIONSHIP: 1/18/1995 8.NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY 9.NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 1 10.DUTIES: GENERAL BROKERAGE.; I*74536 FOR-PROFIT ORGANIZATION - POA, LOUISVILLE, KENTUCKY 40245 - INVESTMENT RLT'D - NO, HRS DEVOTED TO ACTIVITY - 2 HOUR(S) MONTHLY, HRS DURING TRADING - 1, DATE ACTIVITY BEGAN 03/02/12, POSITION - OTHER, POA.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-02-21 |
| S63 | Uniform Securities Agent State Law Examination | 1981-09-04 |
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