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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2018-05-09 |
| TX | RA | APPROVED_RES | 2017-06-19 |
| CA | RA | APPROVED | 2017-04-11 |
Branch Locations
130 W Superior St, Duluth, MN 55802 • United States
Duluth, MN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| U.S. Bancorp Investments, Inc. | Plymouth | MN | 02/2013 | 03/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Cupertino | CA | 03/2017 | Present |
RENTAL PROPERTY; NOT I/R; 2255 JOHNSTON RD, ESCONDIDO, CA 92029; OWN REAL ESTATE; PROPERTY OWNER; 01/2013 - CURR; 0 HRS/MTH; 0 HRS/TRADING; PAY PROPERTY TAXES. I*499346 For profit or not for profit: Name of outside business organization: Rental Property Investment related: N Address of business: RP, RP, RP Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 10/1/2012 Number of hours devoted: 5 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: ,
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-04-23 |
| S63 | Uniform Securities Agent State Law Examination | 1991-02-01 |
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