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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2009-08-18 |
| WA | RA | APPROVED | 2009-08-17 |
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 | Kennewick | WA | 08/2009 | Present |
| Bank Of America, Na | Kennewick | WA | 12/2009 | Present |
(1)FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT NAME OF OUTSIDE BUSINESS ORGANIZATION: COLUMBIA CENTER ROTARY CHARITY INVESTMENT RELATED: Y ADDRESS OF BUSINESS: KENNEWICK, WASHINGTON 99336 NATURE OF BUSINESS: CHARITABLE GIVING POSITION, TITLE, ASSOCIATION: PRESIDENT START DATE OF RELATIONSHIP: 07/01/2007 NUMBER OF HOURS DEVOTED PER MONTH: 11-20 NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS: NONE DUTIES: CHECK WRITING, FINANCIAL OVERSIGHT, COLLECTIVE RESPONSIBILITY. (2)FOR PROFIT OR NOT FOR PROFIT: GOVERNMENTAL OR PUBLIC PURPOSE ENTITY NAME OF OUTSIDE BUSINESS ORGANIZATION: CIVIL SERVICE COMMISSION - CITY OF KENNEWICK INVESTMENT RELATED: NO ADDRESS OF BUSINESS: KENNEWICK, WASHINGTON 99336 NATURE OF BUSINESS: OTHER POSITION, TITLE, ASSOCIATION: COMMISSION MEMBER START DATE OF RELATIONSHIP: 04/01/2014 NUMBER OF HOURS DEVOTED: 5 HOUR(S) MONTHLY NUMBER OF HOURS DURING TRADING HOURS: 0 HOUR(S) MONTHLY DUTIES: COMMISSION IS RESPONSIBLE FOR SETTING HIRING AND TRAINING. ATTEND MONTHLY MEETING OR ADDITIONAL MEETING IF REQUIRED.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-07-09 |
| S63 | Uniform Securities Agent State Law Examination | 1983-07-11 |
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