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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2008-12-12
TX RA APPROVED 2008-12-12
  • MO RA
    APPROVED
    Since 2008-12-12
  • TX RA
    APPROVED
    Since 2008-12-12

Branch Locations

7676 Forsyth Blvd, Clayton, MO 63105 • 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 Clayton MO 12/2008 Present
Bank Of America, N.A. St Louis MO 12/2009 Present
Previous Registrations
  • 2003-07-01 → 2008-12-15
    St. Louis, MO
    Chesterfield, MO
    Chesterfield, MO
  • 2000-07-19 → 2003-07-01
    Prudential Equity Group, Llc
    Chesterfield, MO
Other Businesses

(1)1. A J H LIVING TRUST, INVESTMENT RELATED, RESTWOOD MO, FATHER'S TRUST, TRUSTEE, BEGAN 3/2/2007, 4 HOURS/MONTH, FAMILY TRUST. 2. M N H LIVING TRUST, INVESTMENT RELATED,CRESTWOOD MO, MOTHER'S TRUST, TRUSTEE, BEGAN 5/18/2007, 4 HOURS/MONTH, FAMILY TRUST. I*2255278, Entity Type: Entity Charitable, Name of OBA: Lindbergh HS Scholarship of 75, Address: St. Louis, Missouri, 63126, Investment Related: N, Position, Title, Association: ["Committee"], Employee State Date: 03/26/2025, No Hours: 8 Yearly, No Hours during Trading: 2 Yearly, Duties: The alumni are creating a scholarship. I have been asked to be part of the committee to figure out what the criteria is for the scholarship for High School students. I will not accept money, control money, or manage money. A next step is in 2026 they would like me to be in group that evaluates the HS student applicants and their essays to help determine who will get the scholarship. There are many other scholarships managed by the High School so they already have in place managing the funds, telling students about the scholarships available and collecting the applications and essays from the students. My only influence on giving out the funds would be one of many who evaluates the applications and essays against criteria, and force ranks who I think the best candidate(is/are).

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1999-12-07
S65 Uniform Investment Adviser Law Examination 1999-12-01
  • S63 Uniform Securities Agent State Law Examination
    1999-12-07
  • S65 Uniform Investment Adviser Law Examination
    1999-12-01
Designations
Other Names
  • Tim Hampton

View on SEC IAPD

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