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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2023-06-15 |
| FL | RA | APPROVED | 2020-11-04 |
| WI | RA | APPROVED | 2020-11-03 |
| TX | RA | APPROVED_RES | 2016-04-01 |
| IL | RA | APPROVED | 2016-03-31 |
Branch Locations
Mount Pleasant, SC • United States
780 N Western Ave, Lake Forest, IL 60045 • United States
Naples, FL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Lake Forest | IL | 03/2016 | Present |
| Bank Of America, N.A. | Lake Forest | IL | 04/2016 | Present |
GORTON FOUNDATION. NON INVESTMENT-RELATED. CHICAGO, IL. CHARITABLE ORGANIZATION. CHAIRMAN. STARTED IN JANUARY, 2011. DEVOTES 2 HOURS PER MONTH. I*2239322, Entity Type: , Name of OBA: M W, Address: Larchmont, New York, 10538, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 14-Mar-2025, No Hours: 1 Yearly, No Hours during Trading: 1 Yearly, Duties: I*4886272, Entity Type: Entity For Profit, Name of OBA: Friends of Tomahawk Lake, Address: Lake Tomahawk, Wisconsin, 54539, Investment Related: N, Position, Title, Association: ["Officer"], Employee Start Date: 07/10/2026, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties: President Provide Educational Information to facilitate a clean lake environment
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2011-05-11 |
| S65 | Uniform Investment Adviser Law Examination | 1999-12-10 |
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