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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-04-16 |
| MN | RA | APPROVED | 2013-11-04 |
| TX | RA | APPROVED_RES | 1995-03-06 |
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 | Minneapolis | MN | 09/1987 | Present |
| Bank Of America, Na | Minneapolis | MN | 11/2009 | Present |
I*2654278, Entity Type, Name of OBA: SIK TTEE RAK TTEE U/A DTD 09/13/2022 Address: North Oaks, Minnesota 55127 Investment Related: No Position, Title, Association: Trustee Employee Start Date: 08/25/2025 No Hours: 0 No Hours during trading: 0 Duties: Trustee
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-10-12 |
| S63 | Uniform Securities Agent State Law Examination | 1987-12-04 |
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