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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 2018-03-27
TX RA APPROVED_RES 2010-06-16
MI RA APPROVED 2010-05-11
OH RA APPROVED 2004-09-21
  • CA RA
    APPROVED
    Since 2018-03-27
  • TX RA
    APPROVED_RES
    Since 2010-06-16
  • MI RA
    APPROVED
    Since 2010-05-11
  • OH RA
    APPROVED
    Since 2004-09-21

Branch Locations

39001 W 12 Mile Rd, Farmington Hills, MI 48331 • United States

Southfield, MI • 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, Inc. Farmington Hills MI 01/1999 Present
Bank Of America, Na Farmington Hills MI 12/2009 Present
  • 01/1999 → Present
    Merrill Lynch, Pierce< Fenner & Smith, Inc.
    Farmington Hills, MI
  • 12/2009 → Present
    Bank Of America, Na
    Farmington Hills, MI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-11-05
S66 Uniform Combined State Law Examination 2000-09-01
  • S65 Uniform Investment Adviser Law Examination
    2004-11-05
  • S66 Uniform Combined State Law Examination
    2000-09-01

View on SEC IAPD

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