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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2025-08-27 |
| CA | RA | APPROVED | 2012-04-26 |
| TX | RA | APPROVED_RES | 2011-10-24 |
| ND | RA | APPROVED | 2003-03-03 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Minneapolis | MN | 10/1997 | Present |
| Bank Of America, Na | Minneapolis | MN | 12/2009 | Present |
I*521325 For profit or not for profit: Entity For Profit Name of outside business organization: Los Angeles Junior Kings Investment related: N Address of business: El Segundo, California, 90245 Nature of business: ["Limited Liability Company"] Position, title, association: ["Other"], Start date of relationship: 9/18/2021 Number of hours devoted: 10 hour(s) Weekly Number of hours devoted during trading hours: 0 Duties: Coaching Kids Hockey, Im coaching a Hockey team for the organization
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-02-19 |
| S66 | Uniform Combined State Law Examination | 1998-02-09 |
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