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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2015-11-17
MI RA APPROVED 2015-07-31
  • TX RA
    APPROVED_RES
    Since 2015-11-17
  • MI RA
    APPROVED
    Since 2015-07-31

Branch Locations

3030 Cross Creek Pkwy, Auburn Hills, MI 48326 • United States

39001 W 12 Mile Rd, Farmington Hills, MI 48331 • United States

Rochester, MI • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Troy MI 06/2015 Present
Previous Registrations
  • 2010-10-25 → 2015-06-24
    Troy, MI
    Weehawken, NJ
    Fort Wayne, IN
    Bloomfield Hills, MI
    Troy, MI
    Bloomfield Hill, MI
    Weehawken, NJ
  • 2005-10-14 → 2008-06-23
    Banc Of America Investment Services, Inc.
    Chicago, IL
    Chicago, IL
  • 2004-05-04 → 2005-10-11
    Cincinnati, OH
Other Businesses

1)LET US PLAY YOUTH ORGANIZATION / 503 EAST UNIVERSITY # 203 ROCHESTER,MI 48307 / OTHER/ OTHER DOMESTIC NON PROFIT / CHARITABLE ORGANIZATION TO AID DISADVANTAGED YOUTH / MEMBER OF BOARD OF DIRECTORS / / ATTEND MEETINGS 2X/YEAR / START DATE 08/16/2013 / I*2125263, Entity Type: Entity Governmental, Name of OBA: City of Rochester Michigan Compensation Commission, Address: Rochester, Michigan, 48307, Investment Related: N, Position, Title, Association: Committee, Employee State Date: 01/01/2025, No Hours: 2 Yearly, No Hours during Trading: 0 Yearly, Duties: Serve on 5-person commission that determines the salaries of all elected officials. This position does not involve any individual authority.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-03-01
S63 Uniform Securities Agent State Law Examination 1993-05-27
  • S65 Uniform Investment Adviser Law Examination
    2006-03-01
  • S63 Uniform Securities Agent State Law Examination
    1993-05-27

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