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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2025-03-25 |
| TX | RA | APPROVED | 2016-04-15 |
| IL | RA | APPROVED | 2015-12-24 |
Branch Locations
2021 Spring Rd, Oak Brook, IL 60523 • United States
Wheaton, IL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Oak Brook | IL | 10/2015 | Present |
| Bank Of America, N.A. | Oak Brook | IL | 11/2015 | Present |
I*2014266, Entity Type, Entity Not-for-Profit, Name of OBA: Shield 23 Foundation, Address: Gurnee, IL, 60031, Investment Related: No, Position, Title, Association: Gifting Committee Member, Employee Start Date: 04/03/2024, No Hours: 5hrs/Mo, No Hours during trading: 0, Duties: A non-profit organization that raises funds for and gifts funds to firefighters battling cancer and the families that stand behind them.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-12-23 |
| S63 | Uniform Securities Agent State Law Examination | 1994-03-16 |
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