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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-03-07 |
| PA | RA | APPROVED | 2010-06-18 |
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 | York | PA | 11/1977 | Present |
| Bank Of America,Na | York | PA | 12/2009 | Present |
I*: 2167287 Entity Type: Name of OBA: York County History Center Address: York, PA 17401 Investment Related: Yes Position, Title, Association: Committee Employee Start Date: 02/01/2025 Number of Hours: 3 hrs annually Number of Hours during trading: 0 Duties: One of the Board Members, who is a client, has asked me to help them to determine an Investment Strategy, question portfolio advisors, and to help them monitor investments
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-06-11 |
| S63 | Uniform Securities Agent State Law Examination | 1980-12-04 |
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