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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2016-11-29 |
| IL | RA | APPROVED | 2016-08-04 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Rockford | IL | 04/2016 | Present |
| Bank Of America, N.A. | Rockford | IL | 04/2016 | Present |
I*1799276, Entity Type Not-for-profit, Name of OBA: Rockford Cosmopolitan Club Address: Rockford, IL Investment Related: No Position, Title, Association: Member. Employee Start Date: 01/01/2018 No Hours: 4 yearly No Hours during trading: 0 Duties: Local philanthropic organization that raises funds for local charities that focuses on diabetes research and youth causes. Funds are raised through social events and annual poinsettia drive. I*2208296, Entity Type: Not for Profit , Name of OBA: Rosecrance Foundation, Address: Rockford, IL 61107 Investment Related: N, Position, Title, Association: Chairperson, President's Leadership Council , Employee State Date: 1/1/2025, No Hours: 2 monthly , No Hours during Trading: 0 , Duties: Working as part of a newly formed President's Leadership Council for Rosecrance Foundation. A not-for-profit entity headquarted in Rockford, IL. We are a volunteer board, one of several, that consists of young professionals that are advocates for Rosecrance and the foundation. Our goal is raise awareness for the Rosecrance Foundation through community outreach and social events.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-08-03 |
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