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880 Carillon Parkway, St. Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2023-05-23 |
Branch Locations
880 Carillon Parkway, St. Petersburg, FL 33716 • UNITED STATES
Chicago, IL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Anchorage | AK | 11/2009 | 05/2023 |
| Bank Of America,N.A. | Anchorage | AK | 06/2011 | 05/2023 |
| Raymond James & Associates, Inc | Chicago | IL | 05/2023 | Present |
(1)Name of Business: River Bank Loft Condo Association Address: 550 N Kingsbury St, Chicago, IL, 60654, United States Activity Type: Board Member, Board Subcommittee Member, Officer, or Director Position/Title: Advisory Board, Officer - President Investment Related: No Start Date: 12/20/2024 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Board Member - assist with maintaining, safety and rule standards of condo association, collectively make decisions regarding repairs and needed upgrades.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-09-29 |
| S63 | Uniform Securities Agent State Law Examination | 1998-11-06 |
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