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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-04-13 |
| IL | RA | APPROVED | 2023-04-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Quincy | IL | 05/2022 | Present |
| Quincy Media, Inc. | Quincy | IL | 09/2013 | 05/2022 |
| Bank Of America, N.A. | Quincy | IL | 07/2022 | Present |
I*1182307 Entity Type: Charitable Name of outside business organization: United Way of Adams County Investment related: No Address of business: Quincy, Illinois, 62301 Position, title, association:: Committee, Finance committee Start date of relationship: 3/15/2023 Number of hours devoted: 2 hrs Monthly Number of hours devoted during trading hours: 0 Duties: Finance Committee; provide guidance among a committee of 12 in relation to the finances of the local United Way. I*3961298 Entity Type: Entity Charitable Name of OBA: United Way of Adams County (IL) Address: Quincy, Illinois, 62301 Investment Related: No Position, Title, Association: Officer,Other Employee Start Date: 03/16/2026 Number of Hours: 4, Monthly Number of Hours during trading: 2, Monthly Duties: United Way provides various resources such as financial, health and lodging for the underserved in Adams County in Illinois To serve as President Elect of the Board of Directors. Assisting the current Board President, overseeing Operations, the Board, and the various committees that serve as the functioning body of the United Way of Adams County
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-02-21 |
| S63 | Uniform Securities Agent State Law Examination | 2023-01-18 |
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