Jeffrey J Herr

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2018-08-21
IL	RA	APPROVED	2016-01-08
TX	RA	APPROVED	2016-01-08

FL RA
APPROVED

Since 2018-08-21
IL RA
APPROVED

Since 2016-01-08
TX RA
APPROVED

Since 2016-01-08

Branch Locations

Sarasota, FL • United States

2021 Spring Rd, Oak Brook, IL 60523 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Oak Brook	IL	01/2016	Present
Bank Of America, N.A.	Oak Brook	IL	01/2016	Present

01/2016 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Oak Brook, IL
01/2016 → Present

Bank Of America, N.A.

Oak Brook, IL

Previous Registrations

2003-02-28 → 2016-01-19

Ubs Financial Services Inc.

Oakbrook Terrace, IL

Naperville, IL

Naperville, IL

Weehawken, NJ

Oakbrook Terrace, IL
1994-01-27 → 2003-03-04

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chicago, IL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-10-11
S63	Uniform Securities Agent State Law Examination	1988-12-21

S65 Uniform Investment Adviser Law Examination

1994-10-11
S63 Uniform Securities Agent State Law Examination

1988-12-21

Other Names

Jeffrey J Hoerr

View on SEC IAPD

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