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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2010-10-25
TX RA APPROVED_RES 2008-08-15
  • MI RA
    APPROVED
    Since 2010-10-25
  • TX RA
    APPROVED_RES
    Since 2008-08-15

Branch Locations

39577 Woodward Ave, Bloomfield Hills, MI 48304 • 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, Pierce, Fenner & Smith Incorporated Bloomfield Hills MI 08/2008 Present
Bank Of America, N.A. Bloomfield Hills MI 12/2009 Present
Other Businesses

I*110268 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: NIBBLES INVESTMENT RELATED: N ADDRESS OF BUSINESS: ROSCOMMON, MICHIGAN 48653 NATURE OF BUSINESS: S-CORP, POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 4/6/2018 NUMBER OF HOURS DEVOTED: 0 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: NIBBLES IS A PROVIDER OF ICE CREAM TO THE LOCAL COMMUNITY. MY RESPONSIBILITY WILL BE A PORTION OF THE START UP COSTS. I*2165274, Entity Type: , Name of OBA: J A C TTEE by D CUAD 5/18/2000, Address: Farmington Hills, Michigan, 48331, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 30-Dec-2024, No Hours: 3 Yearly, No Hours during Trading: 0 Yearly, Duties: I*2172299, Entity Type: , Name of OBA: J C TTEE U/A DTD 05/18/2000 BY D C, Address: Farmington Hills, Michigan, 48331, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 21-Jan-2025, No Hours: 2 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-03-30
S63 Uniform Securities Agent State Law Examination 1997-02-26
  • S65 Uniform Investment Adviser Law Examination
    2000-03-30
  • S63 Uniform Securities Agent State Law Examination
    1997-02-26

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