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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2020-12-23 |
| FL | RA | APPROVED | 2020-12-17 |
| IN | RA | APPROVED | 2002-05-29 |
| IL | RA | APPROVED | 2002-03-04 |
| TX | RA | APPROVED_RES | 2002-02-22 |
Branch Locations
110 N Wacker Dr Pbig - Chicago, Chicago, IL 60606 • 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, Inc. | Chicago | IL | 02/2002 | Present |
| Bank Of America, Na | Chicago | IL | 01/2010 | Present |
I*1301280 For profit or not for profit: Entity For Profit Name of outside business organization: Broadmeadow LLC Investment related: N Address of business: OBA, OBA, OBA Nature of business: ["Limited Liability Company"] Position, title, association: ["General Partner/Managing Member"], Start date of relationship: 5/17/2023 Number of hours devoted: 0 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: , Entity formed to purchase a parcel of vacant land. This is not a business, just a vehicle to hold the land. There are no ongoing responsibilities, the land will remain vacant.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-02-18 |
| S63 | Uniform Securities Agent State Law Examination | 1989-01-25 |
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