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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 2012-10-01
MI RA APPROVED 2010-05-12
IL RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2012-10-01
  • MI RA
    APPROVED
    Since 2010-05-12
  • IL RA
    APPROVED
    Since 2009-10-23

Branch Locations

333 W Grandview Pkwy, Traverse City, MI 49684 • United States

750 Trade Centre Way, Portage, MI 49002 • United States

250 Monroe Ave Nw, Grand Rapids, MI 49503 • 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 Kalamazoo MI 10/2009 Present
Bank Of America, N.A. Portage MI 05/2011 Present
Previous Registrations
  • 2008-10-24 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Kalamazoo, MI
    Kalamazoo, MI
  • 2006-11-02 → 2008-10-24
    Lasalle Financial Services, Inc.
    Kalamazoo, MI
    Chicago, IL
    Kalamazoo, MI
    Kalamazoo, MI
    Kalamazoo, MI
    Kalamazoo, MI
    Kalamazoo, MI
    Parchment, MI
    Constantine, MI
    Niles, MI
    St. Joseph, MI
    Dowagiac, MI
    South Bend, IN
    Elkhart, IN
    South Bend, IN
    South Bend, IN
    South Bend, IN
    Elkhart, IN
    Cassopolis, MI
    Niles, MI
    Benton Harbor, MI
    Kalamazoo, MI
    Chicago, IL
Other Businesses

FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: BOYS AND GIRLS CLUB OF KALAMAZOOINVESTMENT RELATED: NADDRESS OF BUSINESS:KALAMAZOO, MICHIGAN UNITED STATES 49007NATURE OF BUSINESS: CHARITABLE ORGANIZATION POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, ADVISORY BOARD MEMBERSTART DATE OF RELATIONSHIP: 2/5/2014NUMBER OF HOURS DEVOTED: 3 MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 1DUTIES: MEMBER OF THE BOARD OF DIRECTORS I*4569280 Entity Type: Fiduciary Role Name of OBA: G L M TTEE A M M TTEE U/A DTD 04/23/2014 Address: Grand Rapids, Michigan, 49546 Investment Related: No Position, Title, Association: Trustee Employee Start Date: 05/14/2026 Number of Hours: 1, Weekly Number of Hours during trading: 1, Weekly Duties: Self, Spouse

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-01-09
S63 Uniform Securities Agent State Law Examination 2002-01-30
  • S65 Uniform Investment Adviser Law Examination
    2003-01-09
  • S63 Uniform Securities Agent State Law Examination
    2002-01-30

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