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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OK | RA | APPROVED | 2002-10-01 |
| TX | RA | APPROVED_RES | 2002-09-30 |
Branch Locations
3 disclosure categories 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 | Tulsa | OK | 09/2002 | Present |
| Bank Of America, Na | Tulsa | OK | 03/2010 | Present |
I*115717 For profit or not for profit: Non-Profit Organization Name of outside business organization: Make-s-Wish Oklahoma Address of business: Tulsa, Oklahoma 74136 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Investment related: N Start date of relationship: 7/31/2018 Number of hours devoted: 10 hour(s) Quarterly Number of hours devoted during trading hours: 0 Duties: Make-a-Wish arranges experiences, described as "Wishes",for children with life threatening medical conditions. My role would be that of an Advisory Board member.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1982-03-23 |
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