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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 1992-01-07 |
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 | 04/1984 | Present |
| Bank Of America, N.A. | Fairhope | AL | 06/2011 | Present |
I*60372 For profit or not for profit: Non-Profit Organization Name of outside business organization: Mobile Memorial Gardens, Inc Investment related: Y Address of business: Moblie, Alabama 36619 Nature of business: Other,501(c)13 Position, title, association: , Start date of relationship: 4/2/2019 Number of hours devoted: 3 hour(s) Monthly Number of hours devoted during trading hours: 2 Duties: Board member & Secretary of the board. Board members meet monthly to review finances and ops. The board employs a full time manager. Board Members are trustees of the Endowments. Corporate Secretary executes corp docs but has no Financial duties I*468146 For profit or not for profit: Entity Charitable Name of outside business organization: University of South Alabama Investment related: N Address of business: OBA, OBA, OBA Nature of business: ["School, College or University"] Position, title, association: ["Board Member"], Start date of relationship: 5/1/2023 Number of hours devoted: 3 hour(s) Yearly Number of hours devoted during trading hours: 3 Duties: , State University Chair 2X /yr meetings:Advise Prof/Stud re: careers I*111328 For profit or not for profit: For-Profit Organization Name of outside business organization: Clark Fork Properties, LLC Investment related: N Address of business: Spanish Fort, Alabama 36527 Nature of business: LLC, Position, title, association: Owner, Start date of relationship: 1/15/2018 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: A fish camp and certain associated personal property (boats, furniture etc.. owned by a new LLC with 6 original members for the use of the members and their guests. There is no profit motive although renting the property would remain an option.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-02-24 |
| S63 | Uniform Securities Agent State Law Examination | 1984-07-11 |
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