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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-04-15 |
| WI | RA | APPROVED | 2025-04-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Funds Distributor, Llc | Menomonee Falls | WI | 01/2015 | 05/2017 |
| Robert W. Baird & Co., Inc. | Milwaukee | WI | 05/2017 | 03/2025 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Milwaukee | WI | 03/2025 | Present |
I*: 2274261 Name: Rental Property 1 Whether the business is investment-related: Yes, but not securities-related. Address of the other business: West Allis, Wisconsin Nature of the other business: Primary Residence/Rental Property Your position: 50% Owner and Landlord Start date of your relationship11/22/2019 Approximate number of hours/month you devote to the other business: Less than 1 hour on average per month Number of hours you devote to the other business during securities trading hours: None. Unless an emergency arises, all time for this will be devoted to off market hours. Briefly describe your duties relating to the other business: I am one of two owners of this property, splitting responsibilities, and finances 50/50 with my business partner. I also currently occupy one of the two units so it also serves as my primary residence.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-02-04 |
| S63 | Uniform Securities Agent State Law Examination | 2014-11-19 |
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