Andrew A Tappe

Current Employers

Employment History

• 09/2013 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Quincy, IL
• 01/2014 → Present
  Bank Of America, N.A.
  Quincy, IL

Previous Registrations

• 2010-06-16 → 2011-10-28
  Chase Investment Services Corp.
  Evanston, IL
  Skokie, IL
  Evanston, IL
  Wilmette, IL
  Chicago, IL

Other Businesses

I*93140 NON-PROFIT NAME: QUINCY NOTRE DAME HIGH SCHOOL INVESTMENT: NO ADDRESS: QUINCY, IL POSITION: COMMITTEE MEMBER, START DATE: 6/1/2016 HOURS: 1 HOUR MTHLY HOURSDURING TRADING HOURS: 0 DUTIES: CHAIRPERSON FOR THE FUND DRIVE FOR MY HIGH SCHOOL.I*106992FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: QUINCY UNIVERSITY MART HEINEN BOARDINVESTMENT RELATED: NADDRESS OF BUSINESS: QUINCY, IL NATURE: CHARITABLE ORGANIZATION,UNIVERSITY POSITION: ADVISORY BOARD MEMBER, START DATE: 8/1/2017 HOURS: 4 MONTHLY HOURS DURING TRADING HOURS: 1 DUTIES: ATHLETIC DEPARTMENT BOARD FOR QUINCY UNIVERSITY. VOLUNTEERING AT SPORTING EVENTS AND TAILGATES AS WELL AS PUTTING ON PICNICS AND ACTIVITIES FOR THE STUDENTS. I*2047284, Entity Type, Entity Charitable, Name of OBA: The Tappe Family Foundation, Address: Quincy, IL, 62305, Investment Related: Yes, Position, Title, Association: General Partner/Managing Member, Employee Start Date: 01/01/2025, No Hours: 2hrs/Mo, No Hours during trading: 1, Duties: My family is interested in starting a foundation to organize our philanthropic giving. We all give to a number of charities in the area and looking for a way to join forces and have a more formal process. They would like for me to handle the financial aspects and possibly a board member. We are in only in the planning stages and I want to make sure this is allowed before moving further along. I*2047283, Entity Type, Entity for Profit, Name of OBA: October Heights, LLC, Address: Quincy, IL, 62305, Investment Related: No, Position, Title, Association: Consultant/Independent Contractor, Employee Start Date: 11/01/2024, No Hours: 2hrs/Mo, No Hours during trading: 0, Duties: My wife is setting up a LLC for her consulting work. Her focus will be on educational leadership. She will more than likely open a BofA checking and possibly CMA in the distant future. She will mainly have banking needs for the first year or so. I am not an owner but I handle the majority of our finances so I am not sure how to answer some of these questions.I*2757274, Entity Type: No Name of OBA: Quincy University Annual Fund, Address: Quincy , Illinois, 62301, Investment Related: N, Position, Title, Association: Other, Employee State Date: 09/15/2025, No Hours: 20 Yearly, No Hours during Trading: 4 Yearly, Duties: As the chairs of the 2025-2026 Annual Fund, we would be featured in their announcement and present at fund raising events. The university will announce the goal for the upcoming school year and my wife and I as the chairs. I*3764274 Entity Type: Not for Profit Name of OBA: Quincy University National Alumni Board Address: Quincy, Illinois, 62301 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 03/01/2026 Number of Hours: 15, Yearly Number of Hours during trading: 0 Duties: Getting alumni more involved at homecoming an other Quincy University events. Volunteer at homecoming and 4 meetings per year.I*3979274Type: For ProfitName: AMT Properties, LLCAddress: Quincy, ILInvestment: NoPosition: General Partner/Managing MemberStart Date: 03/23/2026Hours: 1, MonthlyHours during trading: 0Duties: My wife and I are looking to set up a LLC to purchase a rental property.My wife will handle the rental side. I just want to be able to see the checking account information and pay any bills. I*4588276 Type: Charitable Name: Gem City Kiwanis Address: Quincy, IL Investment: No Association: Board Member Start Date: 7/1/26 Hours: 20, Year Hours during trading: 0, Year Duties: I will help find volunteers for Meals on Wheels, prepare for meetings, and organize our two fund raisers (golf outing and trivia night).

Exams

• S65 Uniform Investment Adviser Law Examination
  2010-06-15
• S63 Uniform Securities Agent State Law Examination
  2005-09-15

Other Names

• Andrew Anthony Tappe