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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2001-03-06 |
| IL | RA | APPROVED | 1998-04-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Schaumburg | IL | 10/1997 | Present |
| Bank Of America, N.A. | Schaumburg | IL | 09/2009 | Present |
I*8744Entity Type: Rental PropertyName of outside business organization: Abbey Villa UnitInvestment related: noAddress of business: Fontana, Wisconsin 53125Position, title, association: Co-owner with other family membersStart date of relationship: 10/1/2020Number of hours devoted: 2 hrsNumber of hours devoted during trading hours: 0Duties: Co-owner with other family members/Rental Property I*4452268Entity Type: For ProfitName of OBA: Southern Drift LLCAddress: Palatine, Illinois, 60067Investment Related: NoPosition, Title, Association: General Partner/Managing MemberEmployee Start Date: 04/17/2026Number of Hours: 0Number of Hours during trading: 0Duties: Holds a rental property in ILLINOIS None for me, my husband handles this property I*4452267, Entity Type: Entity For Profit, Name of OBA: Lake Lovin' Crew, Address: Lake Geneva, Wisconsin, 53147, Investment Related: N, Position, Title, Association: General Partner/Managing Member, Employee Start Date: 08/29/2025, No Hours: 5 Monthly, No Hours during Trading: 0 Monthly, Duties: enjoyment of 2nd home, Created an LLC to hold the existing Wisconsin rental property and purchased a 2nd home that will not be rented, both will be in the LLC
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-11-13 |
| S63 | Uniform Securities Agent State Law Examination | 1995-08-16 |
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