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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| UT | RA | APPROVED | 2023-04-05 |
| TX | RA | APPROVED_RES | 2012-06-13 |
| TN | RA | APPROVED | 2004-04-15 |
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 Pf&S Inc | Knoxville | TN | 06/1975 | Present |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Knoxville | TN | 09/1978 | Present |
| Bank Of America, Na | Knoxville | TN | 04/2010 | Present |
I*120383 For profit or not for profit: Non-Profit Organization Name of outside business organization: marble City Opera Investment related: N Address of business: knoxville, Tennessee 37934 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 2/11/2019 Number of hours devoted: 24 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: board member of opera company
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-05-25 |
| S63 | Uniform Securities Agent State Law Examination | 1981-06-30 |
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