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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2009-01-28 |
| OH | RA | APPROVED | 1999-08-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Columbus | OH | 11/1991 | Present |
I*97497 For profit or not for profit: For-Profit Organization Name of outside business organization: Guardian Investment related: N Address of business: Gahanna, Ohio 43230 Nature of business: Other,Guardianship Position, title, association: Fiduciary, Start date of relationship: 9/1/2016 Number of hours devoted: 75 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Guardian for my brother. I pay his bills, have taxes prepared, oversee his medical care.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-04-13 |
| S63 | Uniform Securities Agent State Law Examination | 1999-03-27 |
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