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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 2010-10-08
TX RA APPROVED_RES 2004-10-25
  • MI RA
    APPROVED
    Since 2010-10-08
  • TX RA
    APPROVED_RES
    Since 2004-10-25

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 03/1997 Present
Bank Of America, N.A. Bloomfield Hills MI 05/2011 Present
Other Businesses

I*77348 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: REAL STYLE INVESTMENT RELATED: N ADDRESS OF BUSINESS: 1030 NORTH CROOKS RD, SUITE C CLAWSON, MICHIGAN 48017 NATURE OF BUSINESS: LIMITED PARTNERSHIP, POSITION, TITLE, ASSOCIATION: PART-TIME, START DATE OF RELATIONSHIP: 12/11/2014 NUMBER OF HOURS DEVOTED: 30 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MODEL/ACTOR TALENT AGENCY

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-09-14
S63 Uniform Securities Agent State Law Examination 1997-05-23
  • S65 Uniform Investment Adviser Law Examination
    2010-09-14
  • S63 Uniform Securities Agent State Law Examination
    1997-05-23
Other Names
  • Scott A Faulkner

View on SEC IAPD

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