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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-10-02 |
| IL | RA | APPROVED | 2023-09-05 |
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 | Rolling Meadows | IL | 08/2017 | 09/2018 |
| Hedge Trading, Llc | Chicago | IL | 03/2011 | 03/2017 |
| Arb Trading | Chicago | IL | 01/2017 | 07/2017 |
| Bank Of America, N.A. | Rolling Meadows | IL | 10/2017 | 09/2018 |
| E*Trade Securities Llc | Chicago | IL | 09/2018 | 09/2023 |
| E*Trade Capital Management Llc | Chicago | IL | 09/2018 | 09/2023 |
| Morgan Stanley Smith Barney Llc | Chicago | IL | 03/2023 | Present |
(A) 1. Name: Carlisle Banquets(1) 2. Investment-related: No 3. Address: Butterfield road, Lombard, Illinois 60148 4. Nature: Banquets 5. Position: Employee 6. Start Date: 7/14/2017 7. Approx. number of hrs per month devoted to the other business: 24 8. Number of hrs devoted during securities trading hrs: 0 9. Duties: I am a banquet bartender on weekends mostly for weddings or other private parties (B) 1. Hanhardt Holdings 2. Investment Related: Yes 3. (Personal Address) 4. Real Estate Investment 5. Limited Partner 6. 11/01/2020 7. Hours devoted to business: 1 8. Hours devoted during Securities business: 0 9. Collecting rent and making sure all bills are up to date.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-10-14 |
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