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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-07-31 |
| IL | RA | APPROVED | 2023-07-31 |
| TX | RA | APPROVED | 2023-07-24 |
Branch Locations
263 Shuman Blvd. Suite 130, Naperville, IL 60563 • United States
3777 Tamiami Trail North Suite 300, Naples, FL 34103 • United States
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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Oak Brook | IL | 09/1986 | 07/2023 |
| Bank Of America, Na | Oak Brook | IL | 12/2009 | 07/2023 |
| Stifel, Nicolaus & Company, Incorporated | Naperville | IL | 07/2023 | Present |
1. The Community House in Hinsdale, IL; 415 W. 8th Street, Hinsdale, IL 60521; They provide recreation and cultural activities, counseling and therapeutic services, and educational support, and community build; Trustee; quarterly board meetings; 08/08/2017; 5 Hours per Quarter; Not during securities trading hours; Not Investment-Related 2.The Community House Of Hinsdale; 415 West Eighth Street Hinsdale IL 60521; non for profit community services; member of finance committee; monthly meetings to discuss budgets and general goals; 11/21/2014; 30.00hrs/year; Not during securities trading hours; Not Investment-Related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-02-10 |
| S63 | Uniform Securities Agent State Law Examination | 1986-12-19 |
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