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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2014-12-23 |
| ND | RA | APPROVED | 2001-07-23 |
| TX | RA | APPROVED_RES | 1992-01-22 |
Branch Locations
51 Broadway N, Fargo, ND 58102 • United States
200 S Biscayne Blvd, Miami, FL 33131 • United States
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 | Fargo | ND | 11/1987 | Present |
| Bank Of America, N.A. | Fargo | ND | 12/2009 | Present |
(1)FOR PROFIT HUMMEL TIPS, LLC FARGO ND 58102 DENTAL START DATE: 01/01/2010 HOURS PER MONTH DEVOTED: 1-10 NONE DURING SECURITIES TRADING HOURS DUTIES: BILL PAYING, CHECK WRITING. (2)FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: DENTAL PRODUCT INVESTMENT RELATED: NO ADDRESS OF BUSINESS: ST. LOUIS, MISSOURI NATURE OF BUSINESS: OTHER POSITION, TITLE, ASSOCIATION: OTHER START DATE OF RELATIONSHIP: 09/01/2009 NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 HOUR(S) MONTHLY DUTIES: ULTSONIC DENTAL TIPS THAT ARE NOT CURRENTLY MARKETED IN THE US. MY UNCLE WHO IS A DENTIST AND I ARE GOING TO SHOW THE PRODUCT TO SCHEIN DENTAL IN THE US.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-07-22 |
| S63 | Uniform Securities Agent State Law Examination | 1988-03-04 |
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