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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2012-10-15 |
| NC | RA | APPROVED | 2002-07-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Raleigh | NC | 02/1987 | Present |
| Bank Of America, N.A. | Raleigh | NC | 06/2011 | Present |
I*4012269 Entity Type: Fiduciary role Name of OBA: L. R. Estate Address: PALM DESERT, California, 92260 Investment Related: No Position, Title, Association: Executor Employee Start Date: 12/06/2025 Number of Hours: 2, Yearly Number of Hours during trading: 0 Duties: Executor/Parents
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-06-27 |
| S63 | Uniform Securities Agent State Law Examination | 1986-01-10 |
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