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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2021-03-18
TX RA APPROVED_RES 2017-01-03
MI RA APPROVED 2011-01-04
  • FL RA
    APPROVED
    Since 2021-03-18
  • TX RA
    APPROVED_RES
    Since 2017-01-03
  • MI RA
    APPROVED
    Since 2011-01-04

Branch Locations

4805 Towne Centre Rd, Saginaw, MI 48604 • United States

Stuart, FL • 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 Yes
  • 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 Saginaw MI 01/2011 Present
Bank Of America, N.A. Saginaw MI 01/2011 Present
Previous Registrations
Other Businesses

I*73058 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: LEYKON PEAKS, LLC. INVESTMENT RELATED: Y ADDRESS OF BUSINESS: MIDLAND, MICHIGAN 48640 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 6/19/2014 NUMBER OF HOURS DEVOTED: 40 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: LLC TO LIMIT LIABILITY FOR VACATION HOME RENTAL PREVIOUSLY DISCLOSED AND APPROVED. I*111588 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: BM VACATION HOME INVESTMENT RELATED: Y ADDRESS OF BUSINESS: MIDLAND, MICHIGAN 48640 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 1/16/2018 NUMBER OF HOURS DEVOTED: 20 HOUR(S) QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: VACATION RENTAL HOME I*111587 For profit or not for profit: For-Profit Organization Name of outside business organization: Field of Play Marketing Investment related: N Address of business: Pittsburgh, Pennsylvania 15241 Nature of business: Sole Proprietorship, Position, title, association: Other, contractor Start date of relationship: 6/11/2018 Number of hours devoted: 10 hour(s) Quarterly Number of hours devoted during trading hours: 2 Duties: Professional Speaking to various groups about my experiences as a Navy Seal covering the following topics: Teamwork, overcoming adversity, resiliency, etc... I*126619 For profit or not for profit: Non-Profit Organization Name of outside business organization: The Michigan Heroes Museum Investment related: N Address of business: Frankenmuth, Michigan 48734 Nature of business: Charitable Organization, Position, title, association: Director, Start date of relationship: 9/19/2019 Number of hours devoted: 100 hour(s) Annually Number of hours devoted during trading hours: 40 Duties: To Honor, Remember, and Respect Michigan's Heroes. Our Museum with its 850 plus displays Honors the Heroes of Michigan in our 8 Hallowed galleries from the Civil War to the War on Terror and also includes a Space Exhibit.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-10-29
S63 Uniform Securities Agent State Law Examination 1997-02-21
  • S65 Uniform Investment Adviser Law Examination
    2010-10-29
  • S63 Uniform Securities Agent State Law Examination
    1997-02-21
Other Names
  • Branden J Minuth

View on SEC IAPD

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