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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-06-01 |
Branch Locations
1123 Military Cutoff Rd, Wilmington, NC 28405 • United States
620 S Tryon St, Charlotte, NC 28255 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Wilmington | NC | 06/2008 | Present |
Name of the other businessVacation Rental Property-C. and P.W. Whether the business is investment-relatedNo Address of the other businessTopsail Beach, NC 28445 Nature of the other businessRental Property Your positionOwner Title, or relationship with the other businessnone Start date of your relationship2018 Approximate number of hours/month you devote to the other business2 Number of hours you devote to the other business during securities trading hoursnone Briefly describe your duties relating to the other businessCleaning and repairs Do you receive any financial compensation for the business?Yes Do you handle monies or any kind of accounts for the business, or financial transactions for the business?Yes Or do you make any kind of finance related decisions or decisions affecting the business as a whole?Yes Name of the other businessThe Vantage Board Homeowners Association Whether the business is investment-relatedNo Address of the other businessWilmington NC 28403 Nature of the other businessHomeowners Association Your positionVice President - Treasurer, Board Member (as per AIM) Title, or relationship with the other businessnone Start date of your relationship01/01/2018 Approximate number of hours/month you devote to the other business4 Number of hours you devote to the other business during securities trading hoursnone Briefly describe your duties relating to the other businessBoard Meetings, landscaped recommendations, rules violations, etc. Do you receive any financial compensation for the business?No Do you handle monies or any kind of accounts for the business, or financial transactions for the business?Yes Or do you make any kind of finance related decisions or decisions affecting the business as a whole?No I*538234 , Entity Type, Charitable Name of OBA:The Vantage Point Homeowner's Association Board Address:Wilmington,NC,28403 Investment Related:NO Position, Title, Association:Treasurer,Board Member Employee Start Date: 01/01/2021 No Hours:Monthly No Hours during trading: 0 Duties:Serving on the Board, making budget decisions, and enforcing the restrictive covenants I*538235 , Entity Type, N/A Name of OBA: Rental Property 1 Address: Topsail Island,NC,28445 Investment Related:NO Position, Title, Association: Co-owner with other family members Employee Start Date: 05/01/2022 No HoursMONTHLY : No Hours during trading: 0 Duties:N/A
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-05-31 |
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