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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2020-12-15 |
| MO | RA | APPROVED | 2006-10-18 |
| TX | RA | APPROVED_RES | 2006-10-18 |
Branch Locations
400 Chesterfield Ctr, Chesterfield, MO 63017 • United States
Inlet Beach, FL • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691 | Chesterfield | MO | 10/2006 | Present |
| Bank Of America, N.A. | Chesterfield | MO | 07/2011 | Present |
I*67937 For profit or not for profit: For-Profit Organization Name of outside business Treasurerorganization: WB Capital Partners IV Investment related: No Address of business: Wilson, Wyoming 83014 Nature of business: LLC Position, title, association: Other, my wife is a member of the LLC Start date of relationship: 11/15/2013 Number of hours devoted: 0 Number of hours devoted during trading hours: 0 Duties: This LLC will own a commerical realestate building in St Paul Minnesota. My wife is a member of this LLC and I was told that I need to disclose her position as a member of the LLC I*: 2172345 Entity Type: Co-op, HOA Name of OBA: Pine Creek Homeowner's Association Address: Wildwood, MO 63005 Investment Related: No Position, Title, Association: Treasurer Employee Start Date: 01/29/2025 Number of Hours: 1 hr mthly Number of Hours during trading: 0 Duties: Prepare a budget and report to the home owners the status of budget along with proposing appropriate budgets and assessments to cover the costs of maintaining the residential subdivision.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-03-05 |
| S63 | Uniform Securities Agent State Law Examination | 1991-02-06 |
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