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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-05-14 |
| SD | RA | APPROVED | 2019-03-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Piper Jaffray & Co. | Minneapolis | MN | 05/2015 | 05/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Sioux Falls | SD | 01/2019 | Present |
| Jtc Group | Sioux Falls | SD | 06/2018 | 10/2018 |
| Bank Of America, N.A. | Sioux Falls | SD | 02/2019 | Present |
I*1500285For profit or not for profit: Entity For ProfitName of outside business organization: PCS 1992 GST TrustInvestment related: NAddress of business: Sioux Falls, South Dakota, 57104, United StatesNature of business: ["Corporation"]Position, title, association: ["Other"], Start date of relationship: 6/1/2022Number of hours devoted: 5 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: I'm acting as Co-Trustee on the PCS 1992 GST Trust. This Trust holds all real assets (depots, trucks, manufacturing facilities, etc.) there are no traditional investments (stocks/bonds) held in this trust., I'm acting as Co-Trustee on the PCS 1992 GST Trust. This Trust holds all real assets (depots, trucks, manufacturing facilities, etc.) there are no traditional investments (stocks/bonds) held in this trust. I was chosen for this role due to the trust being domiciled in South Dakota and I am a South Dakota resident. The other reason I was chosen for the role is due to the family relationship. P S (wife's uncle) and I S (wife's cousin) are the two other Co-Trustees. All approvals have to achieve a 2 out of 3 vote before being processed. I am not listed on any bank accounts nor do I provide any investment advice for this Trust. I*2197266, Entity Type: Entity Charitable, Name of OBA: Rainforest Flow, Address: Valencia, California, 91355, Investment Related: N, Position, Title, Association: Board Member, Employee State Date: 02/15/2025, No Hours: 3 Monthly, No Hours during Trading: 0 Monthly, Duties: Board of Director for Rainforest Flow. Rainforest Flow delivers clean water, sanitation, and hygiene programs to indigenous people in Manu Biosphere Reserve in Peru's Amazon rainforest. Our collaborative, integrated, and sustainable WASH programs empower indigenous people to become stewards of their own health and resources. Since 2003, Rainforest Flow has collaborated with Peruvian health and environmental agencies and indigenous communities to deliver more than 64 million gallons of safe drinking water to four villages in the global biodiversity hotspot. We have educated hundreds of families about health, hygiene, and sanitation to help them strengthen the health of their communities. Rainforest Flow is a 501(c)(3) nonprofit registered in the United States.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-03-01 |
| S63 | Uniform Securities Agent State Law Examination | 2015-10-26 |
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