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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-10-25 |
| WI | RA | APPROVED | 2021-10-25 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Dallas | TX | 03/2014 | 06/2020 |
| Charles Schwab & Co., Inc. | Brookfield | WI | 09/2020 | 10/2021 |
| Charles Schwab Bank, Ssb | Brookfield | WI | 09/2020 | 10/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Waukesha | WI | 10/2021 | Present |
| Bank Of America, N.A. | Waukesha | WI | 12/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-11-21 |
| S63 | Uniform Securities Agent State Law Examination | 2007-10-23 |
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