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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
Harshaw, 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) I*70633 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: SETTLERS MILL OF MINOCQUA INVESTMENT RELATED: N ADDRESS OF BUSINESS: MINOCQUA, WISCONSIN 54548 NATURE OF BUSINESS: S-CORP, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 3/31/2003 NUMBER OF HOURS DEVOTED: 120 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MINI GOLF COURSE WITH FROZEN CUSTARD STAND - NO RESPONSIBITIES - PART OWNER WITH HUSBAND . (2) Name of Entity - Settlers Mill of Minocqua Address - PO Box 76 Minocqua, WI 54548 Business Description - Miniature golf course with custard stand Business is not investment related Projected Start Date: 04/01/2003 Capacity: Sole Proprietor, Owner - Passive Duties Performed: Business is run by spouse. I help minimally with landscaping duties on weekends Hours Devoted to this OBA Per Month: 1 Hours Devoted to this OBA during business hours: 0
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1996-12-19 |
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