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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2010-10-08 |
| AL | RA | APPROVED | 2010-04-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Birmingham | AL | 04/2010 | Present |
| Bank Of America, N.A. | Birmingham | AL | 01/2011 | Present |
I*1388266For profit or not for profit: Entity CharitableName of outside business organization: Racing for Childrens incInvestment related: NAddress of business: Birmingham, Alabama, 35242, United StatesNature of business: ["Charitable Organization"]Position, title, association: ["Board Member"], Start date of relationship: 7/17/2023Number of hours devoted: 4 hour(s) MonthlyNumber of hours devoted during trading hours: 1Duties: , fundraising for childhood cancer and blood disorders I*4258276, Entity Type: , Name of OBA: Alabama Symphony Orchestra, Address: Birmingham , Alabama, 35222, Investment Related: N, Position, Title, Association:Maestro Ball host , Employee Start Date: 04/02/2026, No Hours: 60 Yearly, No Hours during Trading: 5 Yearly, Duties: Chair their annual Gala, Art & culture
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-06-17 |
| S63 | Uniform Securities Agent State Law Examination | 1985-07-19 |
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