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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 1994-08-05 |
| AL | RA | APPROVED | 1991-04-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Mobile | AL | 02/1983 | Present |
| Bank Of America,Na | Mobile | AL | 11/2009 | Present |
(1) OWNS 3 PROPERTIES. RESIDENCE AS WELL AS RENTING OUT 2 CONDOS. I*128996 For profit or not for profit: For-Profit Organization Name of outside business organization: Fort Morgan Marina LLC Investment related: Y Address of business: gulf shores, Alabama 36542 Nature of business: LLC, Position, title, association: Limited Partner, Start date of relationship: 1/20/2020 Number of hours devoted: 5 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Outside investor in a marina operation. No involvement on day to day basis.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-06-18 |
| S63 | Uniform Securities Agent State Law Examination | 1983-05-11 |
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