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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2024-01-12 |
| TX | RA | APPROVED | 2024-01-12 |
Branch Locations
45 Ottawa Ave Sw, Suite 700, Grand Rapids, MI 49503 • United States
222 West Adams Suite 2450, Chicago, IL 60606 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Grand Rapids | MI | 05/2017 | 01/2024 |
| Bank Of America, N.A. | Grand Rapids | MI | 05/2017 | 01/2024 |
| Townsquare Media | Grand Rapids | MI | 12/2013 | 04/2020 |
| Jm Katz Entertainment Llc | Kentwood | MI | 04/2012 | Present |
| Rockefeller Financial Llc | Grand Rapids | MI | 01/2024 | Present |
| Pnc Bank | Grand Rapids | MI | 03/2011 | 02/2017 |
For profit or not for profit: For-Profit Organization Name of outside business organization: Wingman Sounds LLC Investment related: N Address of business: Grandville, Michigan 49418 Nature of business: LLC Position, title, association: Part-Time Podcaster Start date of relationship: 3/2020 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: A friend and I are looking to do a Podcast. We have not done any at this time. No investment is needed as he is a musician and has the necessary equipment. We only plan to record a Podcast probably once a month, and probably only 1 hour of time. We do not anticipate any revenue and this is not investment-related. For profit or not for profit: For-Profit Organization Name of outside business organization: JM Katz Entertainment LLC Investment related: N Address of business: 2276 Yorktown Dr SE, Kentwood, MI 49508 Nature of business: LLC Position, title, association: Owner/DJ Start date of relationship: 04/2012 Number of hours devoted: 100 hours annually Number of hours devoted during trading hours: 0 Duties: I am the owner of a Single Member LLC that provides DJ services for special events, typically weddings. The business, JM Katz Entertainment LLC, was filed in Michigan in April 2012. I average around 10 events a calendar year, typically on Saturday nights and during the summer/fall. My taxes are filed once a year and part of my personal tax filings. This is not investment-related and has no financial trading business and has never impeded on my full-time job.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-10-31 |
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