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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2013-11-04 |
| TX | RA | APPROVED_RES | 2002-01-31 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Minneapolis | MN | 01/1996 | Present |
| Bank Of America, N.A. | Minneapolis | MN | 07/2011 | Present |
I*21621 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: SELF - W. H. INVESTMENT RELATED: N ADDRESS OF BUSINESS: LAKEVILLE, MINNESOTA 55044 NATURE OF BUSINESS: SOLE PROPRIETORSHIP POSITION, TITLE, ASSOCIATION: OWNER START DATE OF RELATIONSHIP: 1/30/2015 NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: SPEAKER SPEAKING AT CHURCH SERVICES AND CHURCH RELATED EVENTS ON CHRISTIAN TOPICS
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-06-16 |
| S63 | Uniform Securities Agent State Law Examination | 1995-06-05 |
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