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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-11-16 |
| TX | RA | APPROVED_RES | 2010-12-17 |
| SD | RA | APPROVED | 2010-12-15 |
Branch Locations
110 S Phillips Ave, Sioux Falls, SD 57104 • United States
Scottsdale, AZ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Sioux Falls | SD | 12/2010 | Present |
| Bank Of America,N.A. | Sioux Falls | SD | 06/2011 | Present |
I*41079 For profit or not for profit: Non-Profit Organization Name of outside business organization: Augustana College Investment related: Y Address of business: 2001 S Summit, sioux Falls, South Dakota 0 Nature of business: Other,Non-profit College Position, title, association: Committee Member, Start date of relationship: 12/1/2002 Number of hours devoted: 5 hour(s) Monthly Number of hours devoted during trading hours: 2 Duties: Investment Committee Member for Augustana University. No longer a board chair or president of the board. I*126615 For profit or not for profit: Non-Profit Organization Name of outside business organization: Augustana University -- BOLD Steering Committee Investment related: N Address of business: SIoux Falls, South Dakota 57197 Nature of business: Charitable Organization, Position, title, association: Committee Member, Start date of relationship: 9/27/2019 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 1 Duties: Our alma mater is embarking on a new capital campaign and has asked us to serve on the steering committee.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-07-25 |
| S63 | Uniform Securities Agent State Law Examination | 1985-05-04 |
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