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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-11-27 |
| IL | RA | APPROVED | 2021-08-31 |
| TX | RA | APPROVED_RES | 2021-08-26 |
Branch Locations
950 N. Western Avenue Suite 200, Lake Forest, IL 60045-1734 • United States
Lake Forest, IL • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Chicago | IL | 04/1979 | 08/2021 |
| Bank Of America, Na | Chicago | IL | 12/2009 | 08/2021 |
| Rbc Capital Markets, Llc | Chicago | IL | 08/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-11-28 |
| S63 | Uniform Securities Agent State Law Examination | 1981-05-12 |
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