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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 2001-10-19
IL RA APPROVED 2001-07-24
  • TX RA
    APPROVED_RES
    Since 2001-10-19
  • IL RA
    APPROVED
    Since 2001-07-24

Branch Locations

21805 W Field Pkwy, Deer Park, IL 60010 • 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 Inc Schaumburg IL 06/2001 Present
Bank Of America,Na Barrington IL 12/2010 Present
  • 06/2001 → Present
    Merrill Lynch Pierce Fenner & Smith Inc
    Schaumburg, IL
  • 12/2010 → Present
    Bank Of America,Na
    Barrington, IL
Other Businesses

I*27474FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: SELFINVESTMENT RELATED: NADDRESS OF BUSINESS:SCHAUMBURG, ILLINOIS 60193NATURE OF BUSINESS: OTHER,LICENSEE HOLDS LICENSE THROUGH HIS REAL EST BROKERPOSITION, TITLE, ASSOCIATION: PART-TIME, START DATE OF RELATIONSHIP: 12:00:00 AMNUMBER OF HOURS DEVOTED: 2 HOUR(S) QUARTERLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: LICENSED REALTOR FOR PERSONAL RESIDENCE ONLY SALE OF PRIMARY RESIDENCE AND INVESTMENT PROPERTY ONLY. I*4421293 Entity Type: Entity Charitable Name of OBA: Barrington Area Community Foundation Address: Barrington, Illinois, 60010 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 04/20/2026 Number of Hours: 15, Yearly Number of Hours during trading: 0, Yearly Duties: The purpose of the Barrington Area Community Foundation is to establish a permanent, long-term fund for the betterment of the community. The Foundation will use the annual proceeds to support initiatives that benefit the community and maintain our quality of life. Screening grant applications and contribute to the betterment of the Barrington area.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-01-16
S63 Uniform Securities Agent State Law Examination 1998-01-03
  • S65 Uniform Investment Adviser Law Examination
    1998-01-16
  • S63 Uniform Securities Agent State Law Examination
    1998-01-03

View on SEC IAPD

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