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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 2012-06-15
MO RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2012-06-15
  • MO RA
    APPROVED
    Since 2009-10-23

Branch Locations

7676 Forsyth Blvd, Clayton, MO 63105 • 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 St. Louis MO 10/2009 Present
Bank Of America, N.A. Clayton MO 07/2011 Present
Previous Registrations
  • 2003-09-05 → 2009-10-23
    Banc Of America Investment Services, Inc.
    St. Louis, MO
    St. Louis, MO
Other Businesses

I*2116269, Entity Type: , Name of OBA: M C G LIVING TRUST U/A DTD 07/11/2012 , Address: St Louis, Missouri, 63131, Investment Related: N, Position, Title, Association: Trustee, Employee Start Date: 12/04/2024, No Hours: 1 Monthly, No Hours during Trading: 1 Monthly, Duties: I*3371270, Entity Type, Name of OBA: M C G TTEE U/A DTD 12/16/2025 BY D J GAddress: St LouisMissouri63131 Investment Related: No Position, Title, Association: TrusteeEmployee Start Date: 12/23/2025No Hours: 1 monthly No Hours during trading:0 Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-04-26
  • S66 Uniform Combined State Law Examination
    2001-04-26
Other Names
  • Mike Gray
  • Michael Chase Gray

View on SEC IAPD

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