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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2024-08-01 |
| TX | RA | APPROVED | 2024-08-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 08/2024 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Northbrook | IL | 08/2024 | Present |
| Bank Of America, N.A. | Northbrook | IL | 11/2024 | Present |
*536189 - Lending; Investment related Yes; college station, Texas; 05/2022 ; During business hours: 0; After business hours: 0. I*1947309 Entity Type: Entity For Profit Name of OBA: Dairymen's Inc Address:boulder junction Wisconsin Investment Related:No Position, Title, Association:Board Member Start Date:06/12/2010 No Hours: 10 Yearly No Hours during trading:0 Duties:just a general board member of like 20+ who just help plan and run a family resort / club in Northern Wisconsin - in Boulder Junction, WI
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-02-19 |
| S63 | Uniform Securities Agent State Law Examination | 1997-02-04 |
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