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202 South Michigan Street - Suite 325, South Bend, IN 46601 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2017-02-15 |
| IN | RA | APPROVED | 2017-02-15 |
Branch Locations
202 South Michigan Street - Suite 325, South Bend, IN 46601 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pennfield Capital Corporation | South Bend | IN | 02/2017 | Present |
| Rational Systems Llc | Houston | TX | 08/2006 | 12/2016 |
Buffalo Bayou Brewing Company. The business is not investment related. The address is 5301 Nolda Street, Houston, Texas. Nature of business, Brewery. Board member and owner of 4% of the company. Start of the relationship, March 15, 2011. Approximate number of hours/month devoted to this business, 1 hour. The numbers of hours to this business activity during securities trading hours, zero. Duties to the business, attending one board meeting per year.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-11-18 |
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