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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2021-11-04 |
| TX | RA | APPROVED_RES | 2000-02-17 |
| IL | RA | APPROVED | 1998-04-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Naperville | IL | 09/1983 | Present |
| Bank Of America, N.A. | Lisle | IL | 06/2011 | Present |
I*1060310 Entity Type: Charitable Name of outside business organization: Archdiocese of Milwaukee Investment related: No Address of business: Whitefish Bay, Wisconsin, 53217 Position, title, association: Other, Start date of relationship: 11/3/2022 Number of hours devoted: 3 hrs Wkly Number of hours devoted during trading hours: 1 hr wkly Duties: Deacon, Ordained Minister of the Church, Deacon. Preside at masses, perform sacraments, engage in various ministries. For some duties I do receive minor compensation, less than $5000 annually. I*3103300 Entity Type: Charitable Name of OBA: Milwaukee Cursillo Address: Plymouth, Wisconsin 53073 Investment Related: No Position, Title, Association: Committee Employee Start Date: 10/29/2025 Number of Hours: 5, Monthly Number of Hours during trading: 0 Duties: Cursillo is a full-immersion, spiritually life-changing experience to be lived over the course of three days alongside fellow Catholics who desire to reignite and transform their faith. Organize and run leadership activities in support of the regularly scheduled three day retreat weekends. I*3534265 Entity Type: Fiduciary role Name of OBA: J. L L. IRA Address: Glendale, Wisconsin, 53217 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 01/14/2026 Number of Hours: 1, Monthly Number of Hours during trading: 1, Monthly Duties: Power of Attorney/Spouse
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-03-22 |
| S63 | Uniform Securities Agent State Law Examination | 1987-07-31 |
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