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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 2011-11-08
KY RA APPROVED 2011-11-04
  • TX RA
    APPROVED_RES
    Since 2011-11-08
  • KY RA
    APPROVED
    Since 2011-11-04

Branch Locations

300 Buttermilk Pike, Fort Mitchell, KY 41017 • 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 Fort Mitchell KY 11/2001 Present
Bank Of America, N.A. Fort Mitchell KY 02/2012 Present
Previous Registrations
  • 2009-06-01 → 2011-11-09
    Edgewood, KY
    Cincinnati, OH
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Edgewood, KY
  • 2004-04-02 → 2007-04-02
    Morgan Stanley Dw Inc.
    Edgewood, KY
    Edgewood, KY
  • 2002-12-06 → 2004-04-13
    Crestview Hills, KY
Other Businesses

I*475109For profit or not for profit: Entity For ProfitName of outside business organization: Hemmer Investment GroupInvestment related: NAddress of business: Ft. Mitchell, Kentucky, 41017Nature of business: ["Limited Liability Company"]Position, title, association: ["Committee","Board Member"], [["Other"]]Start date of relationship: 3/1/2012Number of hours devoted: 2 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: , Commercial Real Estate InvestmentMember of board seeking Real Estate Invesments I*511979For profit or not for profit: Entity For ProfitName of outside business organization: PJGW Properties LLCInvestment related: NAddress of business: Florence, Kentucky, 41042Nature of business: ["Limited Liability Company"]Position, title, association: ["Owner"], Start date of relationship: 7/15/2021Number of hours devoted: 0 hour(s) YearlyNumber of hours devoted during trading hours: 0Duties: , 1/3 owner of an LLC that owns one rental property. Very few to no responsibilities I*2036294, Entity Type Fiduciary , Name of OBA: DSM Trust Dated December 5, 2023 Address:1132 Riverside Dr., Cincinnati, Ohio, 45202 Investment Related: No Position, Title, Association: Successor TrusteeEmployee Start Date: 07-Oct-2024 No Hours: 0No Hours during trading:0 Duties: I*3126286, Entity Type: Entity Charitable, Name of OBA: Family Nurturing Center , Address: Florence , Kentucky, 41042, Investment Related: Y, Position, Title, Association: Committee, Employee State Date: 10/30/2025, No Hours: 8 Yearly, No Hours during Trading: 8 Yearly, Duties: Investment Advisory Committee J(Director) wanted Financial Professionals on the committee to help her and the Board of the Family Nurturing Center to set some guidelines/direction on monies they are raising for a building they are purchasing and the construction of that building. The treatment and prevention of Child abuse

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-29
S63 Uniform Securities Agent State Law Examination 1999-12-20
  • S65 Uniform Investment Adviser Law Examination
    1999-12-29
  • S63 Uniform Securities Agent State Law Examination
    1999-12-20
Other Names
  • Christopher Gerard Pieper

View on SEC IAPD

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