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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2019-08-30 |
| WI | RA | APPROVED | 2019-08-30 |
Branch Locations
8613 Us Hwy. 51 N, Minocqua, WI 54548 • United States
Minocqua, WI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Minocqua | WI | 05/2008 | 08/2019 |
| Bank Of America, Na | Minocqua | WI | 12/2009 | 08/2019 |
| Rbc Capital Markets, Llc. | Minocqua | WI | 08/2019 | Present |
| City National Bank | Minocqua | WI | 10/2019 | Present |
1) Name: Ascension Lutheran Church Address: 7937 US Highway 51 S Minocqua, WI 54548 Business Description: Lutheran Church Business is not investment related Projected Start Date: 11/01/20 Capacity: Committee/Council Member (not associated with the Board of Directors) Duties Performed: The Stewardship committee of the church reflects the view that members of the church are stewards of the church. The Stewardship committee helps to facilitate this stewardship - this can include encouraging involvement in the church as a volunteer. Volunteer activities could include being involved in the church service as a lector, greeter, etc., or external to the church in things such as helping to clean up the highway, ringing the Salvation Army bell at Christmas time, etc. The Stewardship Committee also helps coordinate the annual stewardship financial commitment phase. In this, each member is asked to consider providing a financial pledge to the church each year. Devoted to this OBA per Month: 1 Hours Devoted to this OBA during business hours: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-05-31 |
| S63 | Uniform Securities Agent State Law Examination | 1989-08-15 |
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