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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2022-11-22 |
| TX | RA | APPROVED_RES | 2017-07-18 |
| TN | RA | APPROVED | 2004-04-14 |
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 | Bristol | TN | 03/1999 | Present |
| Bank Of America, N.A. | Bristol | TN | 07/2011 | Present |
I*19572 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: HONEY BAKED HAM COMPANY INVESTMENT RELATED: N ADDRESS OF BUSINESS: 3101 BROWN MILL RD, JOHNSON CITY, TENNESSEE 37604 NATURE OF BUSINESS: S-CORP, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 12:00:00 AM NUMBER OF HOURS DEVOTED: 0 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: RETAIL VICE-PRESIDENT. ONLY A TITLE. I HAVE NO COMMITTMENTS TO THIS BUSINESS OTHER THAN SUPPORTING MY WIFE. SHE RUNS BUSINESS 100% OF THE TIME. I*127837 For profit or not for profit: Non-Profit Organization Name of outside business organization: CASA of Northeast Tennessee Investment related: N Address of business: Johnson City, Tennessee 37686 Nature of business: LLC, Position, title, association: Advisory Board Member, Start date of relationship: 10/22/2019 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Fundraising, Board Support
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 1999-07-02 |
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