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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 1999-01-01 |
| TX | RA | APPROVED_RES | 1993-07-07 |
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 | Boulder | CO | 03/1992 | Present |
| Bank Of America, N.A. | Boulder | CO | 11/2009 | Present |
I*2200313, Entity Type: , Name of OBA: Niwot Meadow Farm HOA, Address: Niwot, Colorado, 80544, Investment Related: N, Position, Title, Association: Board Member, Employee State Date: 02/01/2025, No Hours: 10 Yearly, No Hours during Trading: 0 Yearly, Duties: Board of director Some of the duties of a board member are to uphold HOA bylaws and covenants. Overseeing and managing contracts with vendors such as common ground maintenance. Ensuring the HOA complies with applicable local, state and federal laws. We essentially act as stewards of the community, working to preserve property values and create a positive living environment.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-10-25 |
| S63 | Uniform Securities Agent State Law Examination | 1986-09-03 |
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