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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 1990-04-11 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Galveston | TX | 05/1986 | Present |
| Bank Of America,N.A. | Galveston | TX | 06/2011 | Present |
I*23776 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: J-TECH, LLC INVESTMENT RELATED: N ADDRESS OF BUSINESS: SANTA FE, TEXAS 77510 NATURE OF BUSINESS: OTHER,HUSBAND CONSULTING POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 9/17/2009 NUMBER OF HOURS DEVOTED: 0 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: DIRECTOR/BOARD MEMBER
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-06-20 |
| S63 | Uniform Securities Agent State Law Examination | 1990-04-09 |
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