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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2019-10-03 |
| WI | RA | APPROVED | 2019-10-03 |
Branch Locations
2465 Marina Circle Suite 500, Green Bay, WI 54304 • United States
Green Bay, WI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Green Bay | WI | 11/1999 | 10/2019 |
| Bank Of America, N.A. | Green Bay | WI | 06/2011 | 10/2019 |
| Rbc Capital Markets, Llc. | Green Bay | WI | 10/2019 | Present |
| City National Bank | Green Bay | WI | 10/2019 | Present |
(1) I*44892 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: BELLIN COLLEGE INVESTMENT RELATED: N ADDRESS OF BUSINESS: GREEN BAY, WISCONSIN 54311 NATURE OF BUSINESS: OTHER, COLLEGE POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 2/2/2015 NUMBER OF HOURS DEVOTED: 12 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 4 DUTIES: HELP ADVISE ON ACTIVITIES THE COLLEGE CAN UTILIZE TO INCREASE STUDENT ENROLLMENT, SATISFACTION AS WELL AS VISIBILITY AND SUSTAINABILITY. (2) Name of Entity: 2465 Marina Circle LLC Address - 2465 Marina Circle Green Bay, Wisconsin 54311 Business Description - Commercial building Business is not investment related Projected Start Date: 03/11/20 Capacity: Owner - Active Duties Performed: Primarily capital. Hours Devoted to this OBA Per Month: 1 Hours Devoted to this OBA during business hours: 1 (3) NAME OF ENTITY: Bellin College ADDRESS: 3201 Eaton Road Green Bay, WI 54311 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Secondary Education CAPACITY: Board of Directors * START DATE: 1/1/2022 DUTIES: Use previous experience and offer recommendations of the direction of the College and any new programs they might look at offering students. HOURS DEVOTED PER MONTH: 0.25 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (4) NAME OF ENTITY: Fairway Sandblasting and Painting ADDRESS: 115 Union St., Holmen WI 54636 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Commercial sandblasting and painting. CAPACITY: Owner - Passive, Officer START DATE: 10/30/16 DUTIES: Collaboration on strategy and future direction of the company HOURS DEVOTED PER MONTH: 0.5 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0.25
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-12-06 |
| S66 | Uniform Combined State Law Examination | 2000-05-17 |
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