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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2021-06-02 |
| TX | RA | APPROVED_RES | 2012-11-08 |
| IL | RA | APPROVED | 2009-10-23 |
Branch Locations
401 Union St, Seattle, WA 98101 • United States
921 Walnut St, Boulder, CO 80302 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bank Of America, N.A. | Chicago | IL | 09/2004 | Present |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Chicago | IL | 10/2009 | Present |
2)FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: JH INVESTMENT RELATED: NADDRESS OF BUSINESS:CHICAGO, ILLINOIS UNITED STATES 60622NATURE OF BUSINESS: OTHER INDIVIDUAL ARTISTPOSITION, TITLE, ASSOCIATION: OTHER, MODELSTART DATE OF RELATIONSHIP: 2/1/2014NUMBER OF HOURS DEVOTED: 1 ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: I WILL BE PHOTOGRAPHED FOR A PAINING JUNE IS PRODUCINGI*78370FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: SAN FRANCISCO AIDS FOUNDATIONINVESTMENT RELATED: NADDRESS OF BUSINESS:SAN FRANCISCO, CALIFORNIA 94103NATURE OF BUSINESS: CHARITABLE ORGANIZATION,POSITION, TITLE, ASSOCIATION: PARTICIPANT, FSTART DATE OF RELATIONSHIP: 1/26/2015NUMBER OF HOURS DEVOTED: 5 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: FUNDRAISING FOR A 7 DAY BIKE RIDE I*1409265For profit or not for profit: Name of outside business organization: Rental Property 1Investment related: NAddress of business: Chicago, IL, 60622, United StatesNature of business: Position, title, association: Sole owner, Start date of relationship: 8/1/2023Number of hours devoted: 5 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: , I*1529265, Entity Type: , Name of OBA: D G, Address: Thornton, Colorado, 80602, Investment Related: N, Position, Title, Association: Executor, Employee State Date: 07/08/2030, No Hours: 20 Monthly, No Hours during Trading: 0 Monthly, Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-08-25 |
| S63 | Uniform Securities Agent State Law Examination | 2002-03-06 |
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