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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2013-06-24 |
| MD | RA | APPROVED | 2013-03-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Baltimore | MD | 01/2006 | Present |
I*2224293, Entity Type: Not for profit , Name of OBA: Schipperke Club of America, Address: Shawnee, OK 74804 Investment Related: N, Position, Title, Association: Auditor of 2024 bank statement activity, club member , Employee State Date:4/01/2025 , No Hours: 8 monthly , No Hours during Trading: 0 , Duties: I am a member of SCA. I was asked to join a committee to review the 2024 bank records and compare it to the activity. According to the club's by laws, the bank records are audited by a group of 3rd party individuals. They do not audit the bank accounts because they suspect any dishonesty. It's just an annual double check to be certain that they have invoices and or receipts for every payment that was made from the bank accounts. I won't have access to the account in any way. The current treasurer provides all records and the audit committee cross references every entry with invoices. An example that was mentioned when we met with the auditors for the last 3 years was a check that was written but the invoice wasn't with the records. A call to the show chair resolved the issue because she had the invoice but forgot to submit it. We are to provide a report to the club's board before the annual meeting in April.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-03-04 |
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