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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2004-08-12 |
| OH | RA | APPROVED | 2000-01-06 |
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 | Columbus | OH | 08/1986 | Present |
| Bank Of America, N.A. | Columbus | OH | 05/2011 | Present |
I*20611 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: STANDARDBRED RACEHORSESINVESTMENT RELATED: NOADDRESS OF BUSINESS: COLUMBUS, OHIO 43215POSITION, TITLE, ASSOCIATION: OWNERSTART DATE OF RELATIONSHIP: 1/1/1999NUMBER OF HOURS DEVOTED: 10 HOURS MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 5 HRSDUTIES: OWNER BUYING AND SELLING HORSES I*4466271, Entity Type: Non-profit Name of OBA: Jewish Columbus, Address: Columbus, Ohio, 43209, Investment Related: N, Position, Title, Association: Community Impact Committee Employee Start Date: 05/01/2026, No Hours: 2 Monthly, No Hours during Trading: 1 Monthly, Duties: I will be a member of the Community Impact Committee that recommends how capital is allocated among the numerous beneficiaries, Jewish Columbus is a non-profit that raises money and allocates it in a manner that supports the local and international Jewish communities I*1092313 Entity Type: Fiduciary role Name of OBA: B. G. Address: Gahanna, Ohio, 43230 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 11/29/2022 Number of Hours: 1, Yearly Number of Hours during trading: 1, Yearly Duties: Power of Attorney/ Parents
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-10-24 |
| S63 | Uniform Securities Agent State Law Examination | 1986-11-14 |
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