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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2014-06-02
WI RA APPROVED 2011-01-24
  • TX RA
    APPROVED_RES
    Since 2014-06-02
  • WI RA
    APPROVED
    Since 2011-01-24

Branch Locations

Waukesha, WI • United States

2600 Browns Lake Dr, Burlington, WI 53105 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch Pewaukee WI 10/2010 Present
Bank Of America,Na Waukesha WI 01/2011 Present
  • 10/2010 → Present
    Merrill Lynch
    Pewaukee, WI
  • 01/2011 → Present
    Bank Of America,Na
    Waukesha, WI
Other Businesses

I*70292 Entity Type: For-Profit Organization Name of outside business organization: MSP Venture LLC Investment related: No Address of business: Waukesha, Wisconsin 53189 Position, title, association: Owner Start date of relationship: 8/1/2013 Number of hours devoted: 4 hrs Monthly Number of hours devoted during trading hours: 0 Duties: I reactivated a previously closed LLC I used to buy and sell small quantities of electronic equipment online. I reactivated the LLC for the purpose of buying equipment and selling. I*886277 For profit or not for profit: Entity For Profit Name of outside business organization: Castle Solutions of Florida LLC Investment related: No Address of business: Summerfield, Florida, 34491 Position, title, association: Member of LLC, Non-Owner Start date of relationship: 6/15/2022 Number of hours devoted: 0 Number of hours devoted during trading hours: 0 Duties: Family owned LLC I*: 903236 Entity Type: Charitable Name of OBA: Rotary International - Burlington Address: Burlington, WI 53105 Investment Related: No Position, Title, Association: Foundation Chair Employee Start Date: 06/30/2022 Number of Hours: 2.5 hrs annually Number of Hours during trading: 1 hr annually Duties: Foundation Chair: Responsible for simply filling out a report quarterly. President-Elect: New Position and as of July 1st to be President for the following year July 2025-June 2026.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-01-18
  • S66 Uniform Combined State Law Examination
    2011-01-18

View on SEC IAPD

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