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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2013-11-01 |
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 | 10/1978 | Present |
| Bank Of America, Na | Wayzata | MN | 12/2009 | Present |
I*949273 For profit or not for profit: Name of outside business organization: City of Minnetrista Council Member Investment related: N Address of business: Minnetrista, Minnesota, 55364 Nature of business: Position, title, association: Council, Start date of relationship: 1/1/2023 Number of hours devoted: 10 hour(s) Monthly Number of hours devoted during trading hours: 1 Duties: The City Council and mayor meet monthly to oversee the running of the City of Minnetrista- population 8,000. The oversight covers roads, water, fire and public safety, and parks among other city functions. The mayor and four council members each have a vote.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-07-07 |
| S63 | Uniform Securities Agent State Law Examination | 1979-08-02 |
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