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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-10-18 |
| IN | RA | APPROVED | 2019-10-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Edward Jones | St Louis | MO | 05/2017 | 08/2017 |
| Natchez Corporation | Evansville | IN | 06/2010 | 04/2017 |
| Securian Financial Services Inc | St Paul | MN | 01/2018 | 09/2019 |
| Shoemaker Financial Services | Newburgh | IN | 01/2018 | 09/2019 |
| Unemployed | Evansville | IN | 09/2017 | 12/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Evansville | IN | 09/2019 | Present |
| Bank Of America, N.A. | Evansville | IN | 10/2021 | Present |
I*1527288 For profit or not for profit: Entity For Profit Name of outside business organization: Locker Racing Stables Investment related: N Address of business: Hebron, Kentucky, 41048, United States Nature of business: ["Limited Liability Company"] Position, title, association: ["Other"], Start date of relationship: 9/9/2023 Number of hours devoted: 0 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: I am a 30% stakeholder. No role beyond that., Horse Racing. No responsibilities.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-07-01 |
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