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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2021-02-24 |
| TX | RA | APPROVED_RES | 2001-10-19 |
| KY | RA | APPROVED | 1993-07-21 |
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 | Louisville | KY | 10/1980 | Present |
| Bank Of America, Na | Louisville | KY | 12/2009 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-07-21 |
| S63 | Uniform Securities Agent State Law Examination | 1983-01-06 |
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