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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2014-07-17 |
| TX | RA | APPROVED_RES | 1993-03-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Wayzata | MN | 11/1978 | Present |
| Bank Of America, N.A. | Wayzata | MN | 05/2011 | Present |
I*108860 For profit or not for profit: Non-Profit Organization Name of outside business organization: Neighborhood House Investment related: N Address of business: St Paul, Minnesota 55107 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 1/4/2018 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Member of the Board of Directors
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-09-02 |
| S63 | Uniform Securities Agent State Law Examination | 1979-12-28 |
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