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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 2004-11-01
IL RA APPROVED 1998-04-12
  • TX RA
    APPROVED_RES
    Since 2004-11-01
  • IL RA
    APPROVED
    Since 1998-04-12

Branch Locations

973 Featherstone Rd, Rockford, IL 61107 • 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 Rockford IL 05/1997 Present
Bank Of America, N.A. Rockford IL 07/2011 Present
Other Businesses

I*27868 ENTITY TYPE: NON-PROFIT NAME OF OUTSIDE BUSINESS ORGANIZATION: ROSCOE UNITED METHODIST CHURCH INVESTMENT RELATED: NO ADDRESS OF BUSINESS:ROSCOE, ILLINOIS 61073 POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 11/16/2016 NUMBER OF HOURS DEVOTED: 10 HOURS MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: ENDOWMENT COMMITTEE I*1680293Entity Type: School, College or University Name of OBA: Hononegah High School Address: Rockton, IL, 61072Investment Related: No Position: Employee Title: Employee Association: Employee Start Date:01/23/2024 No Hours: 20 No Hours during trading:2 Duties: Running the clock/scoreboard for the basketball and football programs I*1797324, Entity Type: Charitable, Name of OBA: Northern Illinois Football Conference, Address: Roscoe, Illinois, 61073, Investment Related: N, Position, Title, Association: Board Member, Employee State Date: 05/14/2024, No Hours: 60 Yearly, No Hours during Trading: 0 Yearly, Duties: Board member, fund raising, corporate sponsorship sales, It is a local Jr. Tackle Football organization I*4510285 Entity Type: Rental property Name of OBA: Rental Property 1 Address: Baileys Harbor, Wisconsin, 54202 Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date: 06/15/2026 Number of Hours: 10, Yearly Number of Hours during trading: 0 Duties: Rental property/Co-owner with other family members

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-10-09
S63 Uniform Securities Agent State Law Examination 1997-09-25
  • S65 Uniform Investment Adviser Law Examination
    1997-10-09
  • S63 Uniform Securities Agent State Law Examination
    1997-09-25
Other Names
  • Andy West
  • Andrew D West
  • Andrew Douglas West

View on SEC IAPD

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