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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2017-01-18 |
| IL | RA | APPROVED | 2017-01-17 |
Branch Locations
3400 Pawtucket Ave Ci Relationship Management, Riverside, RI 02915 • United States
540 W Madison St Ci Relationship Management, Chicago, IL 60661 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Scottrade | Oakland | CA | 06/2015 | 10/2016 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Rolling Meadows | IL | 10/2016 | Present |
| Bank Of America, N.A. | Rolling Meadows | IL | 11/2016 | Present |
I*2261259, Entity Type: , Name of OBA: D I Revocable Trust, Address: Wesmtont, Illinois, 60559, Investment Related: N, Position, Title, Association: Co-Trustee, Employee State Date: 11-Apr-2025, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties:
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-01-13 |
| S65 | Uniform Investment Adviser Law Examination | 1997-12-13 |
| S63 | Uniform Securities Agent State Law Examination | 1996-06-13 |
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