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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-01-03 |
| IN | RA | APPROVED | 1998-12-15 |
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 | South Bend | IN | 10/1993 | Present |
| Bank Of America, N.A. | South Bend | IN | 01/2014 | Present |
I*1048522For profit or not for profit: Name of outside business organization: Awesome FundInvestment related: NAddress of business: Nature of business: Position, title, association: Start date of relationship: Number of hours devoted: hour(s) Number of hours devoted during trading hours: Duties: Non Profit organizations that grants funds to local entrepreneurs I*: 341921Entity Type: Entity CharitableName of OBA: South Bend Civic TheaterAddress: South Bend, IN 46601Investment Related: NoPosition, Title, Association: Board MemberEmployee Start Date: 01/01/2025Number of Hours: 2 hrs mthlyNumber of Hours during trading: 0 Duties: Director/Board Member Civic Theater I*2771279Entity Type: GovernmentalName of OBA: Civic Center BoardAddress:South Bend IndianaInvestment Related:NoPosition, Title, Association:Board MemberStart Date:08/25/2025No Hours: 6 MonthlyNo Hours during trading:0 MonthlyDuties:The Civic Center Board oversees the following assets owned by the City of South Bend. Century Center which is a convention center. The Morris which a theatre and the Palais which is a facility for events like weddings.Meetings are four times a year. They involve general guidance to city staff the run facilities. The board provides guidance on the annual budget, management contract of Century Center, utilization of facilities. The board functions in an advisory capacity, most items are then forwarded to city for governmental approval.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1995-12-06 |
| S65 | Uniform Investment Adviser Law Examination | 1995-12-06 |
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