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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2023-06-12 |
| IL | RA | APPROVED | 2008-11-25 |
| TX | RA | APPROVED | 2008-11-25 |
Branch Locations
780 N Western Ave, Lake Forest, IL 60045 • United States
Galesville, WI • 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 | Lake Forest | IL | 11/2008 | Present |
| Bank Of America, N.A. | Lake Forest | IL | 12/2009 | Present |
FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: BEAR WOODS, LLC INVESTMENT RELATED: N ADDRESS OF BUSINESS: HASTINGS, MINNESOTA 55033 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: GENERAL PARTNER, START DATE OF RELATIONSHIP: 6/7/2013 NUMBER OF HOURS DEVOTED: 0 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: LLC TO PUT PRIVATE EQUITY INVESTMENTS INTO I*135309 For profit or not for profit: For-Profit Organization Name of outside business organization: Ettrick Woods Capital LLC Investment related: Address of business: Hastings, Minnesota 55033 Nature of business: LLC, Compensation for Activity: Position, title, association: General Partner, Start date of relationship: 12/24/2020 Number of hours devoted: 0 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: LLC to put private equity investments into
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-03-04 |
| S63 | Uniform Securities Agent State Law Examination | 1994-02-25 |
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