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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2016-01-08 |
| MI | RA | APPROVED | 2010-05-07 |
| IL | RA | APPROVED | 2009-10-23 |
Branch Locations
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 | Lansing | MI | 10/2009 | Present |
| Bank Of America, N.A. | E Lansing | MI | 12/2009 | Present |
I*105580FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: WHARTON CENTER FOR THE PERFORMING ARTSINVESTMENT RELATED: NADDRESS OF BUSINESS:EAST LANSING, MICHIGAN 48824NATURE OF BUSINESS: CHARITABLE ORGANIZATION,POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 5/10/2017NUMBER OF HOURS DEVOTED: 24 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: LARGE PERFORMING ARTS CENTER WITH TWO STAGES. ADVISORY BOARD MEMBER CHOOSING FUTURE PERFORMANCES, WORKING ON EVENTS AND FUND RAISING. I*1306269 Entity Type: Rental Property Name: Rental Property 1 Investment related: No Address of business: East Lansing, Michigan 48823, Position, title, association: Sole owner, Start date of relationship: 7/1/2022 Number of hours devoted: 10 hours Monthly Number of hours devoted during trading hours: 0 Duties: Sole Owner of rental property I*2480312, Entity Type: Entity Charitable, Name of OBA: University of Michigan Health - Sparrow Specialty Hospital , Address: Lansing, Michigan, 48912, Investment Related: N, Position, Title, Association: Board Member, Employee State Date: 07/01/2025, No Hours: 3 Monthly, No Hours during Trading: 1 Monthly, Duties: Health care and to serve on the board of directors, non financial capacity Overseeing the operations and strategic direction of Sparrow Health System, ensuring adherence to regulations, and representing the community's needs within the healthcare organization. Governance and Oversight: Provides overall leadership and guidance to Sparrow Health System, including community hospitals, physician practices, and outpatient facilities. Strategic Planning: They help develop and implement the strategic plan for the organization, ensuring it aligns with the overall vision. Quality and Patient Safety: They play a role in ensuring quality of care, patient safety, and adherence to regulatory requirements. Community Representation: They represent the needs of patients and the community, ensuring that services and programs are relevant and accessible. Integration with U-M Health: They help guide the integration of Sparrow's operations with U-M Health. I*: 2562294 Entity Type: Rental Property Name of OBA: Rental Property 2 Address: Douglas, MI 49406 Investment Related: No Position, Title, Association: Sole owner Employee Start Date: 7/14/2025 Number of Hours: 4 hrs mthly Number of Hours during trading: 0 Duties: Sole owner of rental property
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-03-03 |
| S63 | Uniform Securities Agent State Law Examination | 1993-11-17 |
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