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Diana L Brass

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Wayzata, MN

Saint Paul, MN

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2013-11-01
TX RA APPROVED_RES 2000-01-04
  • MN RA
    APPROVED
    Since 2013-11-01
  • TX RA
    APPROVED_RES
    Since 2000-01-04

Branch Locations

315 Lake St E, Wayzata, MN 55391 • United States

30 E 7Th St, Saint Paul, MN 55101 • 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 St Paul MN 02/1996 Present
Bank Of America, N.A. St. Paul MN 06/2011 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-12-08
S63 Uniform Securities Agent State Law Examination 1998-01-12
  • S66 Uniform Combined State Law Examination
    2005-12-08
  • S63 Uniform Securities Agent State Law Examination
    1998-01-12
Designations
Other Names
  • Diana L Gay
  • Diana Louise Gay

View on SEC IAPD

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