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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2004-11-01 |
| IL | RA | APPROVED | 1998-04-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Rockford | IL | 05/1997 | Present |
| Bank Of America, N.A. | Rockford | IL | 07/2011 | Present |
I*27868 ENTITY TYPE: NON-PROFIT NAME OF OUTSIDE BUSINESS ORGANIZATION: ROSCOE UNITED METHODIST CHURCH INVESTMENT RELATED: NO ADDRESS OF BUSINESS:ROSCOE, ILLINOIS 61073 POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 11/16/2016 NUMBER OF HOURS DEVOTED: 10 HOURS MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: ENDOWMENT COMMITTEE I*1680293Entity Type: School, College or University Name of OBA: Hononegah High School Address: Rockton, IL, 61072Investment Related: No Position: Employee Title: Employee Association: Employee Start Date:01/23/2024 No Hours: 20 No Hours during trading:2 Duties: Running the clock/scoreboard for the basketball and football programs I*1797324, Entity Type: Charitable, Name of OBA: Northern Illinois Football Conference, Address: Roscoe, Illinois, 61073, Investment Related: N, Position, Title, Association: Board Member, Employee State Date: 05/14/2024, No Hours: 60 Yearly, No Hours during Trading: 0 Yearly, Duties: Board member, fund raising, corporate sponsorship sales, It is a local Jr. Tackle Football organization I*4510285 Entity Type: Rental property Name of OBA: Rental Property 1 Address: Baileys Harbor, Wisconsin, 54202 Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date: 06/15/2026 Number of Hours: 10, Yearly Number of Hours during trading: 0 Duties: Rental property/Co-owner with other family members
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-10-09 |
| S63 | Uniform Securities Agent State Law Examination | 1997-09-25 |
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