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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2011-12-05 |
| IA | RA | APPROVED | 2003-05-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Davenport | IA | 06/1998 | Present |
| Bank Of America, Na | Davenport | IA | 12/2009 | Present |
I*513990For profit or not for profit: Entity Charitable Name of outside business organization: St. Paul the Apostle Catholic Church Investment related: No Address of business: Davenport, Iowa, 52803Nature of business: ["Church or Religious Organization"]Position, title, association: Committee, Finance committee Start date of relationship: 8/1/2021Number of hours devoted: 1 hour Monthly Number of hours devoted during trading hours: 0 Duties: The Finance Council is a committee of 6 people that serve for 4 yrs to advise the pastor on issues such as budget, long term goals and planning for the operation of the church. The role I would potentially serve (if approved) would not be to make any dec MARY KAY COSMETICS-INDEPENDENT CONSULTANT/SALES2. NON-PROFIT ORGANIZATION I*, Entity Type, , Name of OBA: POA for S H, Address: Davenport, Iowa, 52807, Investment Related: Yes, Position, Title, Association: POA, Employee Start Date: 12-Aug-2005, No Hours: .33 Mo, No Hours during trading: 0, Duties: I*123861For profit or not for profit: For-Profit Organization Name of outside business organization: Mountainside Auto and Recovery Investment related: No Address of business: Billings, Montana 59101Nature of business: Family Business, Position, title, association: Family Held, Start date of relationship: 6/3/2019Number of hours devoted: 0 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: This is a business that my husband and my father-in-law own together. My husband consults, but my father-in-law, R. H. makes all the day to day operational decisions. It is a Sub-S corp associated w/my husband's family Business in Billings MT. I*1877270, Entity Type, Entity for Profit, Name of OBA: H. Condo LLC, Address: Denver, CO, 80111, Investment Related: No, Position, Title, Association: Owner, Employee Start Date: 07/20/2024, No Hours: 2hrs/Mo, No Hours during trading: 0, Duties: To possibly buy a condo to help a family member. My husband and I would use our funds. My husband and I would prefer to own the condo in an LLC for limited liability reasons vs owing it personally. The LLC would be for limited liability reasons .This would not be an LLC for income purposes. At this time no rent would be collected. We have not drafted any LLC documents nor have we consulted with an attorney yet. I*2658280, Entity Type: , Name of OBA: The J A N Irrevocable Trust, Address: Davenport, Iowa, 52807, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 07/29/2029, No Hours: 1 Yearly, No Hours during Trading: 0 Yearly, Duties:
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-05-12 |
| S63 | Uniform Securities Agent State Law Examination | 1991-04-06 |
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