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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2026-03-23 |
| TX | RA | APPROVED_RES | 2010-12-15 |
| IL | RA | APPROVED | 2010-12-03 |
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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Swansea | IL | 12/2010 | Present |
| Bank Of America, N.A. | Swansea | IL | 05/2011 | Present |
I*363585Entity Type: For ProfitName of OBA: Mascoutah Land Trust 100Address:Mascoutah, IL, 62258Investment Related:YesPosition: OwnerTitle: OwnerAssociation: OwnerEmployee Start Date:12/03/2010No Hours: 2No Hours during trading:0Duties:Rental Real Estate Trust owned jointly with my wife. I*994485For profit or not for profit: Name of outside business organization: Store-Lock-N-DockInvestment related: NAddress of business: , , Nature of business: Position, title, association: , Start date of relationship: Number of hours devoted: hour(s) Number of hours devoted during trading hours: Duties: , Passive Storage Facility. I*4521272, Entity Type: , Name of OBA: R E G TTEE R G TTEE U/A DTD 06/29/2015 , Address: Belleville, Illinois, 62220, Investment Related: N, Position, Title, Association: Co-Trustee, Employee Start Date: 05/05/2026, No Hours: 2 Yearly, No Hours during Trading: 0 Yearly, Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-07-11 |
| S63 | Uniform Securities Agent State Law Examination | 1994-11-10 |
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