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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-02-15 |
| TX | RA | APPROVED_RES | 2017-12-15 |
| IL | RA | APPROVED | 2017-12-14 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Deutsche Bank Securities Inc | Chicago | IL | 02/2006 | 09/2016 |
| Raymond James & Associates, Inc. | Chicago | IL | 09/2016 | 12/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Chicago | IL | 12/2017 | Present |
| Bank Of America, N.A. | Chicago | IL | 12/2017 | Present |
I*513913 For profit or not for profit: Name of outside business organization: Rental Property 1 Investment related: N Address of business: Hinsdale, Illinois, 60521 Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 6/1/2021 Number of hours devoted: 3 hour(s) Yearly Number of hours devoted during trading hours: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-07-25 |
| S63 | Uniform Securities Agent State Law Examination | 1985-11-19 |
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