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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2007-12-07 |
| IA | RA | APPROVED | 1999-01-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Davenport | IA | 04/1998 | Present |
| Bank Of America, N.A. | Davenport | IA | 07/2011 | Present |
I*89697 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL HOME INVESTMENT RELATED: N ADDRESS OF BUSINESS: DAVENPORT, IOWA 52806 NATURE OF BUSINESS: FAMILY BUSINESS, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 1/4/2016 NUMBER OF HOURS DEVOTED: 2 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: IT IS A SINGLE FAMILY HOME THAT I OWN AND AM RENTING IT OUT.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-05-15 |
| S63 | Uniform Securities Agent State Law Examination | 1996-12-10 |
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