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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2021-11-30 |
| IL | RA | APPROVED | 2021-11-29 |
| RI | RA | APPROVED | 2016-07-01 |
| TX | RA | APPROVED_RES | 2016-04-18 |
Branch Locations
13355 Noel Rd Division - Texas South, Dallas, TX 75240 • United States
2021 Spring Rd, Oak Brook, IL 60523 • United States
Naperville, IL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bank Of America, N.A. | Lincoln | RI | 10/2007 | Present |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Lincoln | RI | 10/2009 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-06-30 |
| S63 | Uniform Securities Agent State Law Examination | 2000-11-13 |
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