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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-03-30 |
| MI | RA | APPROVED | 2015-12-16 |
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 |
|---|---|---|---|---|
| Adtime/Dorna | New York | NY | 10/1993 | Present |
| Dean Witter Reynolds Inc. | Birmingham | MI | 10/1994 | Present |
| Fahnestock & Co. Inc. | Birmingham | MI | 06/2002 | Present |
BALDWIN PUBLIC LIBRARY. 300 W. MERRILL STREET, BIRMINGHAM, MI 48009 1. BIRMINGHAM, MICHIGAN PUBLIC LIBRARY 2. LIBRARY BOARD OF TRUSTEES 3. ELECTED NOVEMBER 2009 4. 10 HOURS A MONTH 5. 1-2 HOURS A MONTH DURING SECURITIES TRADING HOURS 6. AS A BOARD TRUSTEE I FOCUS ON BALDWIN, FINANCE & FUNDRAISING COMMITTEES FOR THIS BOARD. I ATTEND ONE BOARD MEETING A MONTH.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-03-23 |
| S63 | Uniform Securities Agent State Law Examination | 1994-08-17 |
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