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123 N. Wacker Dr. Suite 2300, Chicago, IL 60606 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-11-15 |
Branch Locations
123 N. Wacker Dr. Suite 2300, Chicago, IL 60606 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Greensboro | NC | 03/2019 | Present |
| Ubs Trust / Reliance Trust | New York | NY | 03/2014 | 03/2019 |
| Bank Of America, N.A. | Greensboro | NC | 04/2019 | Present |
Nakatomi Trading Corporation LLC - 20% ownership with no participation in activities or operations. Luke Hunsberger (operating manager) is developing a quantitative algorithm for options trading. The business is investment-related but not a functioning organization. I*130091 For profit or not for profit: Non-Profit Organization Name of outside business organization: The Patton Foundation Investment related: N Address of business: New Hope, Pennsylvania 18938 Nature of business: Charitable Organization, Position, title, association: Committee Member, Start date of relationship: 3/1/2020 Number of hours devoted: 4 hour(s) Quarterly Number of hours devoted during trading hours: 0 Duties: The Patton Foundation Board of Directors: -Assist in capital campaign strategies
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-06-21 |
| S63 | Uniform Securities Agent State Law Examination | 2006-08-17 |
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