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4555 Lake Forest Drive Suite 650, Cincinnati, OH 45242 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2026-06-22 |
Branch Locations
4555 Lake Forest Drive Suite 650, Cincinnati, OH 45242 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 08/2016 | 09/2017 |
| Northwestern Mutual Investment Services Llc | West Chester | OH | 08/2016 | 09/2017 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 10/2016 | 09/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Cincinnati | OH | 09/2017 | 06/2026 |
| Stone Tower Wealth Advisors, Llc, | Cincinnati | OH | 02/2026 | Present |
I*698260 Entity Type: Charitable Name of outside business organization: Greater Miami Valley YMCA Investment Committee Investment related: No Address of business: Hamilton, Ohio, 45011 Position, title, association: Committee, Investment committee Start date of relationship: 2/2/2022 Number of hours devoted: 10 hours Yearly Number of hours devoted during trading hours: 5 hrs annually Duties: Assist and collaborative with other committee members and YMCA staff to ensure the funds of the YMCA are in line with the YMCA's goals and objectives. I will not be selecting any investments, nor giving any investment recommendations. I*: 2643304 Entity Type: Fiduciary role Name of OBA: P. A.-R. Address: Vienna, VA 22181 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 09/01/2025 Number of Hours: 1hr annually Number of Hours during trading: 0 Duties: Power of Attorney/nephew I*: 3001269 Entity Type: Fiduciary role Name of OBA: P. A.-R. Address: Vienna, VA 22181 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 10/01/2025 Number of Hours: 0 Number of Hours during trading: 0 Duties: Power of Attorney/Aunt I*: 3001270 Entity Type: Fiduciary role Name of OBA: P. A.-R. TOD BENEFICIARIES ON FILE Address: Vienna, VA 22181 Investment Related: No Position, Title, Association: Employee Start Date: 11/01/2025 Number of Hours: 0 Number of Hours during trading: 0 Duties: Power of Attorney/Aunt I*: 3002268 Entity Type: Fiduciary role Name of OBA: P. A.-R. AND T. A R. JTWROS Address: Vienna, VA 22181 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 11/01/2025 Number of Hours: 0 Number of Hours during trading: 0 Duties: Power of Attorney/Aunt
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-11-27 |
| S63 | Uniform Securities Agent State Law Examination | 2011-09-09 |
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