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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2021-06-02
TX RA APPROVED_RES 2012-11-08
IL RA APPROVED 2009-10-23
  • CO RA
    APPROVED
    Since 2021-06-02
  • TX RA
    APPROVED_RES
    Since 2012-11-08
  • IL RA
    APPROVED
    Since 2009-10-23

Branch Locations

401 Union St, Seattle, WA 98101 • United States

921 Walnut St, Boulder, CO 80302 • 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
Bank Of America, N.A. Chicago IL 09/2004 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Chicago IL 10/2009 Present
Previous Registrations
  • 2008-08-28 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Chicago, IL
    Chicago, IL
    Chicago, IL
Other Businesses

2)FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: JH INVESTMENT RELATED: NADDRESS OF BUSINESS:CHICAGO, ILLINOIS UNITED STATES 60622NATURE OF BUSINESS: OTHER INDIVIDUAL ARTISTPOSITION, TITLE, ASSOCIATION: OTHER, MODELSTART DATE OF RELATIONSHIP: 2/1/2014NUMBER OF HOURS DEVOTED: 1 ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: I WILL BE PHOTOGRAPHED FOR A PAINING JUNE IS PRODUCINGI*78370FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: SAN FRANCISCO AIDS FOUNDATIONINVESTMENT RELATED: NADDRESS OF BUSINESS:SAN FRANCISCO, CALIFORNIA 94103NATURE OF BUSINESS: CHARITABLE ORGANIZATION,POSITION, TITLE, ASSOCIATION: PARTICIPANT, FSTART DATE OF RELATIONSHIP: 1/26/2015NUMBER OF HOURS DEVOTED: 5 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: FUNDRAISING FOR A 7 DAY BIKE RIDE I*1409265For profit or not for profit: Name of outside business organization: Rental Property 1Investment related: NAddress of business: Chicago, IL, 60622, United StatesNature of business: Position, title, association: Sole owner, Start date of relationship: 8/1/2023Number of hours devoted: 5 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: , I*1529265, Entity Type: , Name of OBA: D G, Address: Thornton, Colorado, 80602, Investment Related: N, Position, Title, Association: Executor, Employee State Date: 07/08/2030, No Hours: 20 Monthly, No Hours during Trading: 0 Monthly, Duties:

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-08-25
S63 Uniform Securities Agent State Law Examination 2002-03-06
  • S65 Uniform Investment Adviser Law Examination
    2008-08-25
  • S63 Uniform Securities Agent State Law Examination
    2002-03-06
Other Names
  • Erika Lynn Grim

View on SEC IAPD

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