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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2000-02-15 |
| WI | RA | APPROVED | 1995-02-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Mequon | WI | 12/1980 | Present |
| Bank Of America, N.A. | Mequon | WI | 05/2011 | Present |
DUCKS UNLIMITED ONE WATERFOWL WAY, MEMPHIS TN 38120 WETLAND PRESERVATION (NOT INVESTMENT RELATED) LOCAL CHAPTER BOARD MEMBER SINCE 10/94 APPX 1 HR/WK MINIMAL IF ANY TIME SPENT DURING TRADING HOURS LOCAL CHAPTER MEMBERSHIP DIRECTOR COORDINATE AND TRACK MEMBERSHIP FOR LOCAL CHAPTER I*4506282, Entity Type: Entity Charitable, Name of OBA: LDC Homes Association, Address: Mequon, Wisconsin, 53092, Investment Related: N, Position, Title, Association: Board Member, Employee Start Date: 05/15/2026, No Hours: 3 Monthly, No Hours during Trading: 0 Monthly, Duties: Monitor budget for lake activities and coordinate lake maintenance as needed, Lake Committee chair - monitor LDC community lake activity
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-03-18 |
| S63 | Uniform Securities Agent State Law Examination | 1985-09-20 |
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