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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2021-01-11 |
| TX | RA | APPROVED_RES | 2017-06-07 |
| IL | RA | APPROVED | 2017-06-02 |
Branch Locations
110 N Wacker Dr Pbig - Chicago, Chicago, IL 60606 • United States
Williams Bay, WI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Chicago | IL | 10/2007 | 06/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Chicago | IL | 06/2017 | Present |
| Bank Of America, Na | Chicago | IL | 06/2017 | Present |
I*109895FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT NAME OF OUTSIDE BUSINESS: PC RANCH LLC INVESTMENT RELATED: NO ADDRESS: ARLINGTON HEIGHTS, ILLINOIS 60005 POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 2/5/2016 NUMBER OF HOURS DEVOTED: 1 HOUR ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: PERSONALLY SOURCED FARM LAND I*109894 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT NAME OF OUTSIDE BUSINESS: PC ACRES LLC INVESTMENT RELATED: NO ADDRESS: ARLINGTON HEIGHTS, ILLINOIS 60005 POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 12/31/2016 NUMBER OF HOURS DEVOTED: 1 HOUR ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: PERSONALLY SOURCED FARM LAND I*1039301 Entity Type: School, College or University Name: John Carroll University Investment related: No Address: University Heights, Ohio, 44118 Position, title, association: Director, Start date of relationship: 12/7/2022 Number of hours devoted: 40 hours Yearly Number of hours devoted during trading hours: 10 hrs annually Duties: Higher Education school. I will serve on the Board of Directors I*: 2631265 Entity Type: Fiduciary role Name of OBA: A. M C. Revocable Trust Address: Arlington Heights. IL 60005 Investment Related: No Position, Title, Association: Trustee Employee Start Date: 7/18/2025 Number of Hours: 2 hrs mthly Number of Hours during trading: 1 hr mthly Duties: Trustee Child/Grandchild
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-11-27 |
| S63 | Uniform Securities Agent State Law Examination | 2000-06-07 |
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