Best Investors Account Sign in
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2005-08-19
IA RA APPROVED 1999-01-01
IL RA APPROVED 1998-05-05
  • TX RA
    APPROVED
    Since 2005-08-19
  • IA RA
    APPROVED
    Since 1999-01-01
  • IL RA
    APPROVED
    Since 1998-05-05

Branch Locations

4550 E 53Rd St, Davenport, IA 52807 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
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
Other Businesses

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

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-02-10
S63 Uniform Securities Agent State Law Examination 1988-10-21
  • S65 Uniform Investment Adviser Law Examination
    1997-02-10
  • S63 Uniform Securities Agent State Law Examination
    1988-10-21

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Davenport, IA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor