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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-09-10 |
| WI | RA | APPROVED | 2017-09-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Unemployed | Appleton | WI | 02/2016 | 04/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Green Bay | WI | 05/2017 | Present |
| Bank Of America, N.A. | Green Bay | WI | 10/2017 | Present |
I*129946 For profit or not for profit: Non-Profit Organization Name of outside business organization: Neenah Rotary Club Investment related: No Address of business: Neenah, Wisconsin 54957 Nature of business: Charitable Organization Position, title, association: board member Start date of relationship: 7/1/2014 Number of hours devoted: 150 hours Annually Number of hours devoted during trading hours: 100 Duties: The Neenah Rotary Club is a service club which is composed of residents of the Fox Valley to serve others for the benefit of the community. As a board member, I help to ensure the stability and direction of the club. I*129947 For profit or not for profit: Non-Profit Organization Name of outside business organization: Neenah Rotary Club Foundation Investment related: No Address of business: Neenah, Wisconsin 54957 Nature of business: Charitable Organization Position, title, association: Advisory Board Member Start date of relationship: 7/1/2014 Number of hours devoted: 6 hours Annually Number of hours devoted during trading hours: 6 hrs annually Duties: I help (with other financial advisors) to oversee the Neenah Rotary Club foundation, which distributes funds to students for scholarships. We quarterly review investment performance of the club. I*:2578312 Entity Type: Charitable Organization Name of OBA: Fox Valley Symphony Board of Directors Address: Appleton, WI 54914 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 07/15/2025 Number of Hours: 2 hrs mthly Number of Hours during trading: 0 Duties: To support the Fox Valley Symphony Orchestra and ensure its financial stability. Meeting (likely monthly) to review financial solvency for the upcoming season; occasionally reaching out to current or potential donors for sponsorship opportunities with the Symphony
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-09-01 |
| S63 | Uniform Securities Agent State Law Examination | 2001-02-15 |
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