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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2021-01-19 |
| TX | RA | APPROVED_RES | 1999-01-04 |
| IN | RA | APPROVED | 1998-12-15 |
Branch Locations
100 N Michigan St, South Bend, IN 46601 • United States
Santa Rosa Beach, FL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | South Bend | IN | 05/1996 | Present |
| Bank Of America, Na | South Bend | IN | 12/2009 | Present |
I*91600 ENTITY TYPE: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: SCHOLARSHIP FOUNDATION OF ST. JOSEPH COUNTY INVESTMENT RELATED: NO ADDRESS OF BUSINESS: MISHAWAKA, INDIANA 46545 POSITION, TITLE, ASSOCIATION: DIRECTOR, START DATE OF RELATIONSHIP: 1/2/2015 NUMBER OF HOURS DEVOTED: 3 HOURS QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 1 DUTIES: MENTORING HIGH SCHOOL GRADUATES AS THEY BEGIN THEIR COLLEGE STUDIES. I*1417256 Entity Type: Fiduciary role Name of OBA: G. M. IRA XXX-XXXXX Address: State College, PA, 16803-3610 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 08/01/2023 Number of Hours: 4, Yearly Number of Hours during trading: 4, Yearly Duties: Power of Attorney/Parents
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-08-09 |
| S63 | Uniform Securities Agent State Law Examination | 1996-07-31 |
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