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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-08-07 |
| IL | RA | APPROVED | 2018-11-08 |
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 |
|---|---|---|---|---|
| U.S. Bank | Chicago | IL | 07/2014 | 09/2018 |
| U.S. Bancorp Investments, Inc. | Chicago | IL | 10/2014 | 09/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Northbrook | IL | 10/2018 | Present |
| Bank Of America N.A. | Northbrook | IL | 11/2018 | Present |
I*119026 Non-Profit Organization Name: Northbrook Symphony Orchestra Investment related: No Address of business: Northbrook, Illinois 60062 Nature of business: Charitable Organization Position, title, association: Director Start date of relationship: 7/1/2015 Number of hours devoted: 4 hours Monthly Number of hours devoted during trading hours: 0 Duties: Music organization providing seasonal concerts. Board serves to provide structure and administration to the organization. I*119027 For profit or not for profit: Non-Profit Organization Name of outside business organization: Ravinia Festival Investment related: No Address of business: Highland Park, Illinois 60035 Nature of business: Charitable Organization Position, title, association: Advisory Board Member Start date of relationship: 9/1/2009 Number of hours devoted: 6 hours Quarterly Number of hours devoted during trading hours: 0 Duties: Serve on Associates Board. This is the junior board, responsible for fundraising for the Festival's community outreach education efforts. I*2068264 Entity Type: Entity Charitable Name of OBA: Campanella Children's Choir Address: Northbrook, IL 60062 Investment Related: No Position, Title, Association: Consultant/Independent Contractor Employee Start Date: 10/26/2024 No Hours: 3 No Hours during trading: 0 Duties: Piano accompanist for children's choir I*: 2409277 Entity Type: Charitable Name of OBA: Highland Park Presbyterian Church Address: Highland Park, IL 60035 Investment Related: No Position, Title, Association: Employee Employee Start Date: 6/1/2025 Number of Hours: 20 hrs mthly Number of Hours during trading: 0 Duties: Church Music Director/Organist
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-11-01 |
| S63 | Uniform Securities Agent State Law Examination | 2001-01-22 |
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