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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2013-11-19 |
| TX | RA | APPROVED_RES | 2008-11-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Duluth | MN | 10/1995 | Present |
| Bank Of America, N.A. | Duluth | MN | 08/2011 | Present |
I*21954 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: FOND DU LAC TRIBAL AND COMMUNITY COLLEGE INVESTMENT RELATED: N ADDRESS OF BUSINESS: 2101 14TH STREET, CLOQUET, MINNESOTA 55720 NATURE OF BUSINESS: OTHER,COMMUNITY COLLEGE POSITION, TITLE, ASSOCIATION: OTHER, TEACHING START DATE OF RELATIONSHIP: 1/31/2007 NUMBER OF HOURS DEVOTED: 20 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: TEACHING MANAGERIAL ACCOUNTING
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-01-03 |
| S63 | Uniform Securities Agent State Law Examination | 1995-12-27 |
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