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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 2009-12-14
IL RA APPROVED 2001-04-02
  • TX RA
    APPROVED_RES
    Since 2009-12-14
  • IL RA
    APPROVED
    Since 2001-04-02

Branch Locations

2021 Spring Rd, Oak Brook, IL 60523 • 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 Oak Brook IL 10/2000 Present
Bank Of America, Na Oak Brook IL 12/2009 Present
  • 10/2000 → Present
    Merrill Lynch
    Oak Brook, IL
  • 12/2009 → Present
    Bank Of America, Na
    Oak Brook, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-03-26
  • S66 Uniform Combined State Law Examination
    2001-03-26

View on SEC IAPD

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