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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2008-11-28 |
| TX | RA | APPROVED | 2008-11-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Northbrook | IL | 11/2008 | Present |
| Bank Of America, N.A. | Northbrook | IL | 07/2011 | Present |
I*1613277, Name of OBA: Divine Mercy Parish Address: Investment Related: N Position, Title, Association: Officer Employee Start Date: 12/06/2023 No Hours: 12 No Hours during trading: 1 Duties: I serve on finance committee with five members and make recommendations to the pastor of the church on expenditures. I*417220, Entity Type: Entity For Profit, Name of OBA: Future TechInvestors I LLC, Address: Westmont, Illinois 60559, Investment Related: Y, Position, Title, Association: Other, Employee Start Date: 03/14/2019, No Hours: 0, No Hours during trading: 0, Duties: entity created to make investment in KKC Data Container
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-05-29 |
| S63 | Uniform Securities Agent State Law Examination | 2002-05-21 |
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