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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2005-08-19 |
| IA | RA | APPROVED | 1999-01-01 |
| IL | RA | APPROVED | 1998-05-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Davenport | IA | 08/1988 | Present |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Davenport | IA | 08/1988 | Present |
| Bank Of America,Na | Davenport | IA | 12/2009 | Present |
I*77214 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: PRAIRIE OAKS LLC INVESTMENT RELATED: N ADDRESS OF BUSINESS: LECLAIRE, IOWA 52753 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: GENERAL PARTNER, START DATE OF RELATIONSHIP: 12/3/2014 NUMBER OF HOURS DEVOTED: 20 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: PRAIRIE OAKS IS A NATIVE WILDLIFE AND PLANT RESERVE IN IOWA. MY RESPONSIBILITIES ARE TO MAINTAIN THE LAND. I*100158 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: FAMILY FOUNDATION INVESTMENT RELATED: Y ADDRESS OF BUSINESS: LE CLAIRE, IOWA 52753 NATURE OF BUSINESS: CORPORATION, POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 11/14/2016 NUMBER OF HOURS DEVOTED: 20 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: VICE PRESIDENT OF FAMILY FOUNDATION, USED TO GRANT FUNDS TO NON-PROFIT ORGANIZATIONS IN THE QC AREA I*120308 For profit or not for profit: Non-Profit Organization Name of outside business organization: Quad Cities Contributors Council, Inc. Investment related: N Address of business: Davenport, Iowa 52081 Nature of business: Charitable Organization, Position, title, association: Committee Member, Start date of relationship: 3/1/2019 Number of hours devoted: 12 hour(s) Annually Number of hours devoted during trading hours: 12 Duties: The QCCC is a consortium of corporate and private foundation leaders. The QCCC does not award dollars but is a group that works together to promote the success of the Scott & Rock Island counties' non-profit organizations. Role: Council Member. I*1029365 For profit or not for profit: Entity Charitable Name of outside business organization: Unitarian Universalist Congregation of the Quad Cities Investment related: N Address of business: Davenport, Iowa, 52807 Nature of business: ["Church or Religious Organization"] Position, title, association: ["Committee"], [["Finance committee"]] Start date of relationship: 10/11/2022 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , Church
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-02-10 |
| S63 | Uniform Securities Agent State Law Examination | 1988-10-21 |
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