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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-06-28
IL RA APPROVED 2022-04-11
  • TX RA
    APPROVED
    Since 2022-06-28
  • IL RA
    APPROVED
    Since 2022-04-11

Branch Locations

2021 Spring Rd, Oak Brook, IL 60523 • United States

One Bryant Park, New York, NY 10036 • UNITED STATES

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Oak Brook IL 11/2021 Present
Charles Rutenberg Realty Naperville IL 08/2014 11/2021
Bank Of America, N.A. Oak Brook IL 01/2022 Present
Other Businesses

I*586237 For profit or not for profit: Entity For Profit Name of outside business organization: Visage Ventures LLC Investment related: N Address of business: Naperville, Illinois Nature of business: Limited Liability Company Position, title, association: General Partner/Managing Member Start date of relationship: 8/1/2015 Number of hours devoted: 5 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: , Real Estate Investment, Partner owner I*: 988369 Name of OBA: Rental Property 1 Address: San Francisco, California Investment Related: N, Position, Title, Association: Co-owner with other family members Employee Start Date: 10/1/2022 No Hours: 10, Yearly No Hours during trading: 0 Duties: N/A I*584313 For profit or not for profit: Entity For Profit Name of outside business organization: Emerald Investments LLC Investment related: N Address of business: Chicago, Illinois, 60601, United States Nature of business: Limited Liability Company Position, title, association: Officer, General Partner/Managing Member, Owner Start date of relationship: 2/1/2018 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , Rental properties Investments as Owner/Manager I*: 1737269 Entity Type: Entity For Profit Name of OBA: Jharoka Inc Address: Plainfield, IL Investment Related: No Position, Title, Association: General Partner/Managing Member,Owner Employee Start Date: 10/25/2011 Number of Hours: 0 Number of Hours during trading: 0 Duties: Make and sell paintings

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-04-08
  • S66 Uniform Combined State Law Examination
    2022-04-08

View on SEC IAPD

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