Jon Scott Richman

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2004-05-28
TX	RA	APPROVED_RES	1997-01-09

IL RA
APPROVED

Since 2004-05-28
TX RA
APPROVED_RES

Since 1997-01-09

Branch Locations

Chicago, IL • United States

110 N Wacker Dr, Chicago, IL 60606 • 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

Organization	City	State	From	To
Merrill Lynch	New York	NY	09/1996	Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated	New York	NY	09/1996	Present
Bank Of America, Na	Chicago	IL	08/2009	Present

09/1996 → Present

Merrill Lynch

New York, NY
09/1996 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY
08/2009 → Present

Bank Of America, Na

Chicago, IL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-11-25
S63	Uniform Securities Agent State Law Examination	1996-11-12

S65 Uniform Investment Adviser Law Examination

1996-11-25
S63 Uniform Securities Agent State Law Examination

1996-11-12

Other Names

Jon Richman