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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2011-02-16 |
| MT | RA | APPROVED | 1996-08-28 |
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 | Billings | MT | 12/1992 | Present |
| Bank Of America, N.A. | Billings | MT | 07/2011 | Present |
I*90186FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: THE LOUVIN FOUNDATIONINVESTMENT RELATED: NADDRESS OF BUSINESS:BILLINGS, MONTANA 59101NATURE OF BUSINESS: CHARITABLE ORGANIZATION,POSITION, TITLE, ASSOCIATION: DIRECTOR, START DATE OF RELATIONSHIP: 3/1/2016NUMBER OF HOURS DEVOTED: 1 HOUR(S) QUARTERLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: I HAVE BEEN ASKED TO BE 1 OF 5 DIRECTORS OF THE ENTITY WITH THE CAPACITY OF A DIRECTOR AT LARGE. I HAVE NO BUSINESS DEALINGS WITH THE ENTITY AND WE WILL MEET SEMIANNUALLY. I*21655For profit or not for profit: For-Profit OrganizationName of outside business organization: Big Sky State GamesInvestment related: NAddress of business:Billings, Montana 59101Nature of business: Other,Non Profit CorporationPosition, title, association: Officer, Start date of relationship: 10/30/2008Number of hours devoted: 10 hour(s) MonthlyNumber of hours devoted during trading hours: 10Duties: Officer Director/Board Member Subcommittee Member To provide a competitive sports environment to all athletes of all ages that would like to participate annually. I*460528For profit or not for profit: Entity CharitableName of outside business organization: Missions United Inc.Investment related: NAddress of business: Billings, Montana, 59102Nature of business: ["Charitable Organization"]Position, title, association: ["Officer"], Start date of relationship: 10/4/2022Number of hours devoted: 4 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: , Governance Board work for Missions United.General Notes: No finance committee designation, yet invited to meetings including finances if able just too keep educated. Presiding over meetings and general strategic direction of the board. No check writing authority and all are aware no able to participate in any role in financials. I*483344, Entity Type: , Name of OBA: L S, Address: Billings, Montana, 59102, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 10/03/2025, No Hours: 0 Yearly, No Hours during Trading: 0 Yearly, Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-06-05 |
| S63 | Uniform Securities Agent State Law Examination | 1995-12-18 |
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