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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-01-22 |
| MN | RA | APPROVED | 2013-12-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Wayzata | MN | 01/2009 | Present |
| Bank Of America, N.A. | Wayzata | MN | 12/2009 | Present |
1)BLUE DREAM BOOKS, LLC, WAYZATA, MN 55391; NON-INVESTMENT RELATED; COMMENCE DATE 06/04/2012, 3 HRS QUARTERLY; OWNER; THIS LLC HOUSES A HOBBY (TO LIMIT LIABILITY), WHICH INCLUDES WRITING AND ILLUSTRATING CHILDREN'S BOOKS. I*2701265, Entity Type: Entity For Profit, Name of OBA: K S (sole proprietor), Address: Minnetonka, Minnesota, 55345, Investment Related: N, Position, Title, Association: Owner, Employee State Date: 08/05/2025, No Hours: 5 Monthly, No Hours during Trading: 2 Monthly, Duties: I developed a technology tool that I am looking potentially to sell. And I'd be responsible for everything related to this, Commercial venture to sell I.P.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-03-02 |
| S63 | Uniform Securities Agent State Law Examination | 2006-02-16 |
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