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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2012-06-05 |
| NM | RA | APPROVED | 2009-10-23 |
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 | Albuquerque | NM | 10/2009 | Present |
| Bank Of America, Na | Albuquerque | NM | 10/2009 | Present |
I*8267 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: MID-AMERICA CHRISTIAN UNIVERSITY INVESTMENT RELATED: Y ADDRESS OF BUSINESS: OKLAHOMA CITY, OKLAHOMA 73170 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: TRUSTEE, START DATE OF RELATIONSHIP: 10/1/2006 NUMBER OF HOURS DEVOTED: 20 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 6 DUTIES: SIT ON THE BOARD OF TRUSTEES FOR THE UNIVERSITY. REVIEW POLICIES AND DIRECTION FOR THE UNIVERSITY.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-07-21 |
| S63 | Uniform Securities Agent State Law Examination | 1984-03-22 |
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