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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2006-10-24 |
| IL | RA | APPROVED | 1998-04-12 |
Branch Locations
230 Sw Adams St, Peoria, IL 61602 • United States
East Peoria, IL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Peoria | IL | 02/1996 | Present |
| Bank Of America, Na | Peoria | IL | 12/2009 | Present |
I*3072264 Entity Type: Entity For Profit Name of OBA: Down by the Bay LLC Address: East Peoria, Illinois, 61611 Investment Related: No Position, Title, Association: General Partner/Managing Member Employee Start Date: 03/17/2022 Number of Hours: 10, Monthly Number of Hours during trading: 0, Monthly Duties: Rental Property Member and/or Manager of LLC
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-05-08 |
| S63 | Uniform Securities Agent State Law Examination | 1996-04-26 |
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