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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2016-06-22 |
| MN | RA | APPROVED | 2016-05-13 |
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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Saint Paul | MN | 05/2016 | Present |
| Bank Of America, N.A. | St. Paul | MN | 05/2016 | Present |
I*94158 For profit or not for profit: Non-Profit Organization Name of outside business organization: Chicago HOPE Investment related: N Address of business: Chicago, Illinois 60622 Nature of business: Charitable Organization, Position, title, association: , Start date of relationship: 5/1/2006 Number of hours devoted: 10 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Provides college scholarships and mentoring to public schools student of low income. Former President and current board member
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-01-27 |
| S63 | Uniform Securities Agent State Law Examination | 2002-04-24 |
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