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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2014-09-26 |
| IN | RA | APPROVED | 2014-07-30 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Merrillville | IN | 05/2014 | Present |
| Bank Of America, N.A. | Merrillville | IN | 10/2014 | Present |
I*108436 For profit or not for profit: Non-Profit Organization Name of outside business organization: Union Township Dollars for Scholars Investment related: No Address of business: Valparaiso, Indiana 46385 Nature of business: Charitable Organization, Position, title, association: Committee Member Start date of relationship: 12/1/2015 Number of hours devoted: 24 hours Annually Number of hours devoted during trading hours: 0 Duties: Provide scholarships for graduating seniors and alumni I*: 738245 Entity Type: Political Activity Name of OBA: Union Township School Board Address: Valparaiso, Indiana 46385 Investment Related: no Position, Title, Association: School Board Employee Start Date: 11/02/2022 No Hours: 8hr/mo No Hours during trading:0 Duties: The Union Township School Board is responsible for oversight of our school corporation superintendent. School business decisions are handled by the corporation, not the board. I*4718285, Entity Type: Entity For Profit, Name of OBA: S and N R Family LLC, Address: Valparaiso, Indiana, 46385, Investment Related: Y, Position, Title, Association: ["Owner"], Employee Start Date: 10/17/2013, No Hours: 0 Yearly, No Hours during Trading: 0 Yearly, Duties: None. This is a family LLC for the purposes of holding investments for estate management purposes. My brothers and I each have an ownership interest, with no control over or access to the underlying investments. Apologies for not including this earlier, as I exercise no control over the assets.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-07-29 |
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