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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2019-09-03 |
| WI | RA | APPROVED | 2019-08-30 |
Branch Locations
8613 Us Hwy. 51 N, Minocqua, WI 54548 • United States
Arbor Vitae, 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 |
| Rbc Capital Markets, Llc. | Minocqua | WI | 08/2019 | Present |
(1) NAME OF OUTSIDE BUSINESS ORGANIZATION: LAKELAND UNION HIGH SCHOOL INVESTMENT RELATED: N ADDRESS OF BUSINESS: MINOCQUA, WISCONSIN 54548 NATURE OF BUSINESS: OTHER, PUBLIC SCHOOL POSITION, TITLE, ASSOCIATION: OTHER, ACCOMPANIST ON A TEMPORARY BASIS START DATE OF RELATIONSHIP: 2/9/2017 NUMBER OF HOURS DEVOTED: 15 HOUR(S) QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 10 DUTIES: ACCOMPANIST FOR STUDENTS' SOLOS FOR ANNUAL MUSIC FESTIVAL (2) NAME OF ENTITY: Woodruff Appliance & TV; ADDRESS: 905 1st Ave Woodruff, WI 54568; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Retail appliance store; CAPACITY: Other - My husband is 1/3 owner of family business; START DATE: 05/1991; DUTIES: None. I do not participate in the business. My husband is 1/3 owner of family business, since WI is a community property state, I'm listing this as my ownership, also; HOURS DEVOTED PER MONTH: 0; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0; (3) NAME: Oneida County Retail Property 905 1st Ave, Woodruff, WI; Non-Investment related; Non-Investment related; ADDRESS: 1292 E. Harbor Dr Arbor VItae, WI 54568 BUSINESS DESCRIPTION: Rental Property - Inherited POSITION: Owner - Active START DATE: 05/12/22 TIME DEVOTED: 1 hour DUTIES: Record Keeping and bill paying 4) NAME OF ENTITY: Oneida Co Warehouse Prop 8901 Sarah B Lane, Woodruff, WI 54568 ADDRESS: 1292 E Harbor Drive Arbor Vitae, WI 54568 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Rental Property - Warehouse CAPACITY: Owner - Active START DATE: 12/01/22 DUTIES: Depositing receipts, paying bills and tracking income and expenses. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-10-05 |
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