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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 1999-01-28 |
| IL | RA | APPROVED | 1998-04-12 |
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 | Chicago | IL | 09/1994 | Present |
| Bank Of America, Na | Chicago | IL | 12/2009 | Present |
I*125227For profit or not for profit: Non-Profit OrganizationName of outside business organization: Moody Bible InstituteInvestment related: NAddress of business:Chicago, Illinois 60610Nature of business: Charitable Organization,Position, title, association: Advisory Board Member, Start date of relationship: 6/1/2019Number of hours devoted: 5 hour(s) MonthlyNumber of hours devoted during trading hours: 2Duties: Trustee Position. One of approximately 13 trustee board members. Board oversees operation of the school I*3034301 Entity Type: School Name of OBA: Wheaton Academy Address: West Chicago, Illinois, 60185 Investment Related: No Position, Title, Association: Teacher Employee Start Date: 01/05/2026 Number of Hours: 30, Yearly Number of Hours during trading: 15, Yearly Duties: Wheaton Academy is a private high school. Wheaton Academy wants me to teach a two week course on using faith in the our careers. This is for their Winterim program. My daughter attends this high school.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-04-04 |
| S63 | Uniform Securities Agent State Law Examination | 1994-07-13 |
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