Daniel A Fries

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2012-06-15
FL	RA	APPROVED	2009-10-23
IL	RA	APPROVED	2009-10-23
IN	RA	APPROVED	2009-10-23

TX RA
APPROVED_RES

Since 2012-06-15
FL RA
APPROVED

Since 2009-10-23
IL RA
APPROVED

Since 2009-10-23
IN RA
APPROVED

Since 2009-10-23

Branch Locations

Miami Beach, FL • United States

110 N Wacker Dr, Chicago, IL 60606 • United States

701 Brickell Ave, Miami, FL 33131 • United States

Miami Beach, FL • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Chicago	IL	10/2009	Present
Bank Of America, N.A.	Chicago	IL	06/2011	Present

10/2009 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chicago, IL
06/2011 → Present

Bank Of America, N.A.

Chicago, IL

Previous Registrations

2008-10-24 → 2009-10-23

Banc Of America Investment Services, Inc.

Carol Stream, IL

Willowbrook, IL

Schaumburg, IL

Chicago, IL

Elk Grove Village, IL
2001-11-26 → 2008-10-24

Lasalle Financial Services, Inc.

Schaumburg, IL

Willowbrook, IL

Addiston, IL

Schaumburg, IL

Chicago, IL

Chicago, IL

Elk Grove Village, IL

Chicago, IL

Chicago, IL

Other Businesses

DF INVESTMENTS OF IL LLC; NON INVESTMENT RELATED; E HURON # , CHICAGO, IL; RENTAL PROPERTY; CONTROLLING SHARE OWNER OF LLC; START DATE: 2006; HOURS DEVOTED PER MONTH: 10; DURING TRADING HOURS: 0-1; LANDLORD DUTIES. I*12863FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: DF INVESTMENTS LLCINVESTMENT RELATED: YADDRESS OF BUSINESS: N LAKE SHORE DR, UNIT #CHICAGO, ILLINOIS 60611NATURE OF BUSINESS: LLC,POSITION, TITLE, ASSOCIATION: LIMITED PARTNER, START DATE OF RELATIONSHIP: 1/1/2006NUMBER OF HOURS DEVOTED: 10 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: RENTAL CONDO UNIT I*1461259For profit or not for profit: Entity For ProfitName of outside business organization: DF BOATING LLCInvestment related: NAddress of business: miami beach, Florida, 33109, United StatesNature of business: ["Limited Liability Company"]Position, title, association: ["General Partner/Managing Member"], Start date of relationship: 8/1/2023Number of hours devoted: 20 hour(s) WeeklyNumber of hours devoted during trading hours: 0Duties: , boat; i must maintain the boat; i may coordinate charters if i choose to or virtually anything i may want to do with it as i own it I*2164331, Entity Type: Entity For Profit, Name of OBA: df bakers, Address: miami, Florida, 33131, Investment Related: N, Position, Title, Association: General Partner/Managing Member, Employee State Date: 01/17/2025, No Hours: 5 Monthly, No Hours during Trading: 1 Monthly, Duties: own property

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-11-06
S63	Uniform Securities Agent State Law Examination	2000-01-05

S65 Uniform Investment Adviser Law Examination

2001-11-06
S63 Uniform Securities Agent State Law Examination

2000-01-05

Other Names

Daniel Austin Fries

View on SEC IAPD