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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 2015-06-19
IN RA APPROVED 2014-10-01
  • TX RA
    APPROVED_RES
    Since 2015-06-19
  • IN RA
    APPROVED
    Since 2014-10-01

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 10/2014 Present
Bank Of America, N.A. Indianapolis IN 10/2014 Present
Previous Registrations
Other Businesses

I*79981For profit or not for profit: For-Profit OrganizationName of outside business organization: Mitchell Farms LLCInvestment related: NAddress of business:Noblesville, Indiana 46062Nature of business: LLC,Position, title, association: General Partner, Start date of relationship: 4/1/2015Number of hours devoted: 24 hour(s) AnnuallyNumber of hours devoted during trading hours: 0Duties: Family Farm I*487496, Entity Type: , Name of OBA: L L L, Address: Frankfort, Indiana, 46042, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 10/01/2025, No Hours: 1 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-07-06
  • S66 Uniform Combined State Law Examination
    2001-07-06

View on SEC IAPD

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