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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2023-09-26 |
| TX | RA | APPROVED_RES | 2023-09-21 |
Branch Locations
833 E. Michigan Street Suite 1100, Milwaukee, WI 53202 • United States
Wauwatosa, WI • 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 | Milwaukee | WI | 03/1982 | 09/2023 |
| Bank Of America, Na | Milwaukee | WI | 12/2009 | 09/2023 |
| Rbc Capital Markets, Llc | Milwaukee | WI | 09/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-09-28 |
| S63 | Uniform Securities Agent State Law Examination | 1982-05-21 |
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