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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 2008-09-15
IL RA APPROVED 2008-09-05
  • TX RA
    APPROVED_RES
    Since 2008-09-15
  • IL RA
    APPROVED
    Since 2008-09-05

Branch Locations

3161 W White Oaks Dr, Springfield, IL 62704 • United States

Springfield, IL • 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 : 7691 Springfield IL 09/2008 Present
Bank Of America,Na Springfield IL 12/2009 Present
  • 09/2008 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
    Springfield, IL
  • 12/2009 → Present
    Bank Of America,Na
    Springfield, IL
Previous Registrations
  • 2000-01-14 → 2008-09-08
    Natcity Investments, Inc.
    Springfield, IL
    Peoria, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-01-27
S63 Uniform Securities Agent State Law Examination 1989-01-13
  • S65 Uniform Investment Adviser Law Examination
    1994-01-27
  • S63 Uniform Securities Agent State Law Examination
    1989-01-13

View on SEC IAPD

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