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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 2003-01-28
IN RA APPROVED 2002-03-06
  • TX RA
    APPROVED_RES
    Since 2003-01-28
  • IN RA
    APPROVED
    Since 2002-03-06

Branch Locations

510 E 96Th St, Indianapolis, IN 46240 • 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
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Indianapolis IN 02/2002 Present
Bank Of America, N.A. Indianapolis IN 11/2009 Present
Other Businesses

FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: PAYNE & MENCIAS LLCINVESTMENT RELATED: NADDRESS OF BUSINESS:CARMEL, INDIANA 46032NATURE OF BUSINESS: LLC,POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 5/15/2013NUMBER OF HOURS DEVOTED: 3 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: LLC WHICH WILL HOLD REAL ESTATE AND PRIVATE INVESTMENTS. I AM THE OWNERI*69813FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: PAYNE AND MENCIAS FOUNDATIONINVESTMENT RELATED: NADDRESS OF BUSINESS: INDIANAPOLIS, INDIANA 46240NATURE OF BUSINESS: CHARITABLE ORGANIZATION,POSITION, TITLE, ASSOCIATION: OTHER, CO-PRESIDENTSTART DATE OF RELATIONSHIP: 2/21/2014NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: TO SUPPORT NEEDY CHILDREN AND ENRICH THE COMMUNITY.I*125569For profit or not for profit: Non-Profit OrganizationName of outside business organization: Brebeuf Jesuit Preparatory SchoolInvestment related: YAddress of business:Indianapolis, Indiana 46268Nature of business: Charitable Organization,Position, title, association: Committee Member, Start date of relationship: 8/21/2019Number of hours devoted: 6 hour(s) AnnuallyNumber of hours devoted during trading hours: 0Duties: Member of the Finance Committee:The Finance / Audit Committee ensures Brebeuf has adequate funding and that the school s management is using funds in a manner that is tied to both the mission and the strategic plan.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-10-05
S63 Uniform Securities Agent State Law Examination 1999-09-09
  • S65 Uniform Investment Adviser Law Examination
    1999-10-05
  • S63 Uniform Securities Agent State Law Examination
    1999-09-09

View on SEC IAPD

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