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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2009-10-22 |
| IL | RA | APPROVED | 2005-10-27 |
| WI | RA | APPROVED | 2000-01-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Burlington | WI | 07/2000 | Present |
| Bank Of America, N.A. | Burlington | WI | 09/2009 | Present |
I*84186 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: IMMACULATE CONCEPTION PARISH INVESTMENT RELATED: N ADDRESS OF BUSINESS: 108 MCHENRY ST., BURLINGTON, WISCONSIN 53105 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 9/23/2015 NUMBER OF HOURS DEVOTED: 10 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: I HAVE BEEN ASKED TO JOIN THE FINANCE COMMITTEE AT MY LONG TERM PARISH. I WOULD BE PART OF THE COMMITTEE THAT PREPARES AND REVIEWS THE PARISH BUDGET. I*52123 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: BURLINGTON KIWANIS CLUB INVESTMENT RELATED: N ADDRESS OF BUSINESS: BURLINGTON, WISCONSIN 53105 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: OTHER, SECRETARY START DATE OF RELATIONSHIP: 10/2/2011 NUMBER OF HOURS DEVOTED: 12 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: CLUB SECRETARY, TAKE WEEKLY ATTENDANCE, TAKE MONTHLY MINUTES AT BOARD MEETING, FILE MEMBERSHIP REPORTS WITH KIWANIS INTERNATIONAL
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-10-26 |
| S63 | Uniform Securities Agent State Law Examination | 1998-09-03 |
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