Walter Howard Duke

Current Employers

Employment History

• 03/1979 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Gadsden, AL
• 09/2010 → Present
  Bank Of America,Na
  Gadsen, AL

Other Businesses

I*19851 ENTITY TYPE: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: SHOAL CREEK CEMETERY ASSOC.INC. INVESTMENT RELATED: NO ADDRESS OF BUSINESS: ALBERTVILLE, ALABAMA 35950 POSITION, TITLE, ASSOCIATION: FAMILY HELD START DATE OF RELATIONSHIP: 8/25/2010 NUMBER OF HOURS DEVOTED: 0 NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: FAMILY CEMETERY BOARD MEMBER I*132867 Entity Type Non-Profit Organization Name of outside business organization: Holy Comforter Church and School Investment related: Yes Address of business: Gadsden, Alabama 35901 Position, title, association: Committee Member Start date of relationship: 12/2/2019 Number of hours devoted: 12 hours Annually Number of hours devoted during trading hours: 0 Duties: I am asked to be on two investment committees , one for the Church and one for the School. Committee was formed to be the liaison between the investment advisor and the board of each entity. I*: 1998288 Entity Type: Entity Charitable Name of OBA: Turrentine Avenue Architectural review board Address: Gadsden , AL Investment Related: No Position, Title, Association: Committee Employee Start Date: 10/01/2024 Number of Hours: 1 hr mthly Number of Hours during trading: 0 Duties: Review construction changes to homes in the Turrentine Ave Historical district of Gadsden, AL to approve changes so they are consistent with standards of the original construction. This is only an advisory board to the city, with no enforcement power or control. I*3181288 Entity Type: Not for Profit Name of OBA: 5-W club Address: Ohatchee, Alabama, 36271 Investment Related: No Position, Title, Association: Officer Employee Start Date: 12/01/2025 Number of Hours: 20, Yearly Number of Hours during trading: 0 Duties: This is a recreational club There are 20 members and the membership has access to fishing on a 30 acre lake. I have been nominated president of the club - supervising officers house manager property manager Lake manager Solving problems As president, I will not be on any bank account or have access to any funds or bill paying functions or fiduciary responsibilities. Just to be sure the member follow the rules for reserving the club and using the facilities. I*3755299, Entity Type: Entity Charitable, Name of OBA: Holy Comforter Episcopal Church , Address: Gadsden , Alabama, 35901, Investment Related: N, Position, Title, Association: Board Member, Employee Start Date: 03/01/2026, No Hours: 2 Monthly, No Hours during Trading: 0 Monthly, Duties: Meet monthly - review activities of church vote on matters including hiring approve financial reports - monitor and co- lead search for new priest. church - religious organization

Exams

• S65 Uniform Investment Adviser Law Examination
  1993-08-06
• S63 Uniform Securities Agent State Law Examination
  1980-01-04