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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2018-09-13 |
| WI | RA | APPROVED | 2018-09-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| M&I Bank | Milwaukee | WI | 07/2007 | 11/2017 |
| Piper Jaffray & Co. | Milwaukee | WI | 10/2015 | 11/2017 |
| Operose Partners Llc | Milwaukee | WI | 12/2017 | 06/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Burlington | WI | 09/2018 | Present |
| Bank Of America, N.A. | Burlington | WI | 10/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-02-03 |
| S63 | Uniform Securities Agent State Law Examination | 2008-01-30 |
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