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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-04-29 |
| MN | RA | APPROVED | 2016-11-16 |
Branch Locations
315 Lake St E, Wayzata, MN 55391 • United States
Falcon Heights, MN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Wayzata | MN | 08/2016 | Present |
| Bank Of America, N.A. | Wayzata | MN | 11/2016 | Present |
I*118296 Non-Profit, Name: Women's Foundation of Minnesota Investment: N Address:Minneapolis, MN Nature: Corporation, Position: Committee Member, Start date: 2/4/2019 hours: 1 hour Monthly hours during trading hours: 1 Duties: Social change to achieve equality for all women and girls in Minnesota. On the Steering Committee for the Professional Advisor s Network. I*1603263Name of OBA: Unity Church Unitarian Address: N/AInvestment Related: N/APosition, Title, Association: N/AEmployee Start Date: N/ANo Hours: 0No Hours during trading:0Duties:Help the church determine its plans for fundraising among members. I*2692295, Entity Type: , Name of OBA: E W, Address: Falcon Heights, Minnesota, 55113, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 08/06/2025, No Hours: 2 Yearly, No Hours during Trading: 2 Yearly, Duties: I*2692296, Entity Type: , Name of OBA: K W, Address: Falcon Heights, Minnesota, 55113, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 08/06/2025, No Hours: 2 Yearly, No Hours during Trading: 2 Yearly, Duties: I*2841269Entity Type: N/A Name of OBA: K.M.WAddress:Falcon Heights MinnesotaInvestment Related:NoPosition, Title, Association:Power of AttorneyStart Date:09/10/2025No Hours: 4 YearlyNo Hours during trading:2 YearlyDuties:Power of Attorney for Child/Grandchild I*3701273Entity Type: N/A Name of OBA: J WAddress: Falcon Heights, Minnesota, 55113Investment Related: NoPosition, Title, Association: Power of AttorneyEmployee Start Date: 02/04/2026Number of Hours: 1, YearlyNumber of Hours during trading: 1, YearlyDuties: Spouse I*3701274Entity Type: N/A Name of OBA: E WAddress: Falcon Heights, Minnesota, 55113Investment Related: NoPosition, Title, Association: Power of AttorneyEmployee Start Date: 02/04/2026Number of Hours: 1, YearlyNumber of Hours during trading: 1, YearlyDuties: Child/Grandchild I*3701275Entity Type: N/A Name of OBA: K WAddress: Falcon Heights, Minnesota, 55113Investment Related: NoPosition, Title, Association: Power of AttorneyEmployee Start Date: 02/04/2026Number of Hours: 1, YearlyNumber of Hours during trading: 1, YearlyDuties: Child/Grandchild I*488491Name: J L. WAddress: Falcon Heights, MN Investment: NoPosition: POAStart Date: 11/30/2016Hours: 2, YearlyHours during trading: 2, YearlyDuties: Spouse I*1022296Name: K M. W Address: Falcon Heights, MN Investment: NoPosition: POAStart Date: 10/04/2022Hours: 2, YearlyHours during trading: 1, YearlyDuties: Child/GrandchildI*896240Name: E P. WAddress: Falcon Heights, MNInvestment: NoPosition: POAStart Date: 06/22/2022Hours: 2, Yearly Hours during trading: 1, Yearly Duties: Child/Grandchild I*4775279 Name: Questwood Townhomes Assoc Address: Roseville, MN Investment: Yes Association: Board Member Start Date: 7/15/26 Hours: 1, Monthly Hours during trading: 0, Monthly Duties: Board is responsible for decisions concerning the common areas involved for the group of townhomes in which I live.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-11-15 |
| S63 | Uniform Securities Agent State Law Examination | 1999-09-20 |
| S65 | Uniform Investment Adviser Law Examination | 1999-09-20 |
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