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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2008-06-23 |
| TX | RA | APPROVED | 2008-06-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Des Moines | IA | 06/2008 | Present |
| Bank Of America, Na | Des Moines | IA | 12/2009 | Present |
I*495562 Entity Type: N/A Name of OBA: 620 Spyglass Address: Waukee, Iowa, 50263 Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date: 03/01/2012 Number of Hours: 1, Yearly Number of Hours during trading: 0, Yearly Duties: N/A
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-12-15 |
| S63 | Uniform Securities Agent State Law Examination | 2002-10-30 |
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