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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 2019-04-29
MN RA APPROVED 2016-11-16
  • TX RA
    APPROVED_RES
    Since 2019-04-29
  • MN RA
    APPROVED
    Since 2016-11-16

Branch Locations

315 Lake St E, Wayzata, MN 55391 • United States

Falcon Heights, MN • 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 Wayzata MN 08/2016 Present
Bank Of America, N.A. Wayzata MN 11/2016 Present
Previous Registrations
  • 2004-09-28 → 2005-05-04
    Wells Fargo Investments, Llc
    Bloomington, MN
Other Businesses

I*118296 Non-Profit, Name: Women's Foundation of Minnesota Investment: N Address:Minneapolis, MN Nature: Corporation, Position: Committee Member, Start date: 2/4/2019 hours: 1 hour Monthly hours during trading hours: 1 Duties: Social change to achieve equality for all women and girls in Minnesota. On the Steering Committee for the Professional Advisor s Network. I*1603263Name of OBA: Unity Church Unitarian Address: N/AInvestment Related: N/APosition, Title, Association: N/AEmployee Start Date: N/ANo Hours: 0No Hours during trading:0Duties:Help the church determine its plans for fundraising among members. I*2692295, Entity Type: , Name of OBA: E W, Address: Falcon Heights, Minnesota, 55113, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 08/06/2025, No Hours: 2 Yearly, No Hours during Trading: 2 Yearly, Duties: I*2692296, Entity Type: , Name of OBA: K W, Address: Falcon Heights, Minnesota, 55113, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 08/06/2025, No Hours: 2 Yearly, No Hours during Trading: 2 Yearly, Duties: I*2841269Entity Type: N/A Name of OBA: K.M.WAddress:Falcon Heights MinnesotaInvestment Related:NoPosition, Title, Association:Power of AttorneyStart Date:09/10/2025No Hours: 4 YearlyNo Hours during trading:2 YearlyDuties:Power of Attorney for Child/Grandchild I*3701273Entity Type: N/A Name of OBA: J WAddress: Falcon Heights, Minnesota, 55113Investment Related: NoPosition, Title, Association: Power of AttorneyEmployee Start Date: 02/04/2026Number of Hours: 1, YearlyNumber of Hours during trading: 1, YearlyDuties: Spouse I*3701274Entity Type: N/A Name of OBA: E WAddress: Falcon Heights, Minnesota, 55113Investment Related: NoPosition, Title, Association: Power of AttorneyEmployee Start Date: 02/04/2026Number of Hours: 1, YearlyNumber of Hours during trading: 1, YearlyDuties: Child/Grandchild I*3701275Entity Type: N/A Name of OBA: K WAddress: Falcon Heights, Minnesota, 55113Investment Related: NoPosition, Title, Association: Power of AttorneyEmployee Start Date: 02/04/2026Number of Hours: 1, YearlyNumber of Hours during trading: 1, YearlyDuties: Child/Grandchild I*488491Name: J L. WAddress: Falcon Heights, MN Investment: NoPosition: POAStart Date: 11/30/2016Hours: 2, YearlyHours during trading: 2, YearlyDuties: Spouse I*1022296Name: K M. W Address: Falcon Heights, MN Investment: NoPosition: POAStart Date: 10/04/2022Hours: 2, YearlyHours during trading: 1, YearlyDuties: Child/GrandchildI*896240Name: E P. WAddress: Falcon Heights, MNInvestment: NoPosition: POAStart Date: 06/22/2022Hours: 2, Yearly Hours during trading: 1, Yearly Duties: Child/Grandchild I*4775279 Name: Questwood Townhomes Assoc Address: Roseville, MN Investment: Yes Association: Board Member Start Date: 7/15/26 Hours: 1, Monthly Hours during trading: 0, Monthly Duties: Board is responsible for decisions concerning the common areas involved for the group of townhomes in which I live.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-11-15
S63 Uniform Securities Agent State Law Examination 1999-09-20
S65 Uniform Investment Adviser Law Examination 1999-09-20
  • S66 Uniform Combined State Law Examination
    2016-11-15
  • S63 Uniform Securities Agent State Law Examination
    1999-09-20
  • S65 Uniform Investment Adviser Law Examination
    1999-09-20

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