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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2006-07-14 |
| NC | RA | APPROVED | 2002-07-24 |
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 | Raleigh | NC | 05/1988 | Present |
| Bank Of America,Na | Raleigh | NC | 12/2009 | Present |
I*33720For profit or not for profit: For-Profit OrganizationName of outside business organization: OwnerInvestment related: NAddress of business:Cary, North Carolina 27518Nature of business: Other,sole proprietorPosition, title, association: Owner, Start date of relationship: 1/1/2009Number of hours devoted: 10 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: Books/Authorship I*362199, Entity Type: Entity For Profit, Name of OBA: Philip Gorge, Address: Cary, North Carolina, 27518, Investment Related: N, Position, Title, Association: Owner, Employee Start Date: 01/01/2023, No Hours: 10 Monthly, No Hours during Trading: 0 Monthly, Duties: Author, Writer. Fictional thriller novel launching in April 2026.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-07-22 |
| S63 | Uniform Securities Agent State Law Examination | 1987-10-13 |
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