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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-05-01 |
| TX | RA | APPROVED_RES | 2004-10-08 |
| IL | RA | APPROVED | 1998-04-12 |
Branch Locations
110 N Wacker Dr, Chicago, IL 60606 • United States
9128 Strada Pl, Naples, FL 34108 • 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 | Chicago | IL | 09/1987 | Present |
| Bank Of America, N.A. | Chicago | IL | 09/2009 | Present |
I*93900 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: THE CRADLE FOUNDATION GOLF COMMITTEE INVESTMENT RELATED: N ADDRESS OF BUSINESS: 2049 RIDGE RD, EVANSTON, ILLINOIS 60606 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 5/16/2016 NUMBER OF HOURS DEVOTED: 30 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THE DUTIES OF THE GOLF COMMITTEE INVOLVE CHOOSING MENUS FOR LUNCH AND DINNER, SELECTING THE VENUE, ASKING BOARD MEMBERS OR OTHER SPONSORS FOR SILENT AUCTION ITEMS, DETERMINING PRICING AND PRIZES FOR THE OUTING, SELECTING THE COMPETITIVE FORMAT (SCRAM
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-08-17 |
| S63 | Uniform Securities Agent State Law Examination | 1987-04-03 |
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