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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2012-06-25
TX RA APPROVED_RES 1992-02-20
SD RA APPROVED 1989-11-13
  • CA RA
    APPROVED
    Since 2012-06-25
  • TX RA
    APPROVED_RES
    Since 1992-02-20
  • SD RA
    APPROVED
    Since 1989-11-13

Branch Locations

110 S Phillips Ave, Sioux Falls, SD 57104 • 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 Sioux Falls SD 06/1989 Present
Bank Of America,N.A. Sioux Falls SD 06/2011 Present
Other Businesses

I*2021284, Entity Type Fiduciary , Name of OBA: PAN Trust UAD 01/13/1999 Address: Rapid City, South Dakota, 57701 Investment Related: Yes Position, Title, Association: Trustee Employee Start Date: Sep-01-2024 No Hours: 5 Monthly No Hours during trading: 1 Monthly Duties: Trustee for Aunt I*2020304, Entity Type Fiduciary, Name of OBA: LAN Address: Rapid City, South Dakota, 57701 Investment Related: Yes Position, Title, Association: Power of Attorney Employee Start Date:Sep-01-2024 No Hours: 5 Monthly No Hours during trading: 1 Monthly Duties: POA for parent I*2057275, Entity Type Fiduciary, Name of OBA: PAN Address: Rapid City, South Dakota, 57701 Investment Related: Yes Position, Title, Association: Conservator Employee Start Date: 02-Oct-2024 No Hours: 10 Monthly No Hours during trading: 1 monthly Duties: Conservator for Aunt I*2060276, Entity Type Fiduciary, Name of OBA: MLPF& S CUST FBO P A N IRA T A NE CONS Rapid City, South Dakota, 57701 Investment Related: Yes Position, Title, Association: Conservator Employee Start Date: 02-Oct-2024 No Hours: 12 Monthly No Hours during trading: 1 monthly Duties: Conservator for spouse I*2162286, Entity Type: , Name of OBA: L A. N Estate, Address: Rapid City, South Dakota, 57701, Investment Related: N, Position, Title, Association: Executor, Employee State Date: 27-Dec-2024, No Hours: 1 Weekly, No Hours during Trading: 1 Weekly, Duties: Executor for parent I*2168277, Entity Type: , Name of OBA: T A N ADMIN EST OF L A N, Address: Rapid City, South Dakota, 57701, Investment Related: N, Position, Title, Association: Administrator, Employee State Date: 21-Jan-2025, No Hours: 1 Weekly, No Hours during Trading: 1 Weekly, Duties: Administrator for parents I*: 2512302Entity Type: Fiduciary roleName of OBA: T. A N. ADMIN EST OF P A N.Address: Rapid City, SDInvestment Related: NoPosition, Title, Association: AdministratorEmployee Start Date: 06/04/2025Number of Hours: 1 hr wklyNumber of Hours during trading: 1 hr wklyDuties: Administrator for spouse I*4508359, Entity Type: , Name of OBA: MLPF& S CUST FPO P A N IRA FBO P A N, Address: rapid city, South Dakota, 57701, Investment Related: N, Position, Title, Association: Power of Attorney, Employee Start Date: 04/28/2026, No Hours: 5 Monthly, No Hours during Trading: 2 Monthly, Duties:

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1989-08-28
  • S63 Uniform Securities Agent State Law Examination
    1989-08-28

View on SEC IAPD

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