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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2024-08-02 |
| TX | RA | APPROVED | 2024-08-02 |
Branch Locations
227 West Monroe, Suite 2050, Chicago, IL 60606 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-11-22 |
| IL | RA | APPROVED | 2021-05-24 |
Branch Locations
3825 Edwards Road - Suite 630, Cincinnati, OH 45209 • United States
321 Broadway, Saratoga Springs, NY 12866 • United States
222 West Adams Suite 2450, Chicago, IL 60606 • United States
45 Ottawa Ave Sw, Suite 700, Grand Rapids, MI 49503 • United States
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 | Chicago | IL | 01/1994 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-04-20 |
| S63 | Uniform Securities Agent State Law Examination | 1994-04-08 |
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