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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 2013-03-26
  • MN RA
    APPROVED
    Since 2013-11-01
  • TX RA
    APPROVED_RES
    Since 2013-03-26

Branch Locations

80 S 8Th St, Minneapolis, MN 55402 • 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 Minneapolis MN 10/1999 Present
Bank Of America, N.A. Minneapolis MN 10/2013 Present
Other Businesses

I*2056261, Entity Type Fiduciary, Name of OBA: MT Address: Clara City, Minnesota, 56222 Investment Related: Yes Position, Title, Association: Co-Trustee, Power of Attorney Employee Start Date: 21-Oct-2024 No Hours: 1 Yearly No Hours during trading: 0 Duties:I*482207, Entity Type Fiduciary, Name of OBA: POA Address: Minneapolis, Minnesota, 55402 Investment Related: yes Position, Title, Association: Committee Employee Start Date: 30-Jan-2012 No Hours: .33 No Hours during trading:0 Duties: I*2930278 Entity Type: N/A Name of OBA: I F Address: Saint Paul, Minnesota, 55116 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 09/30/2025 Number of Hours: 1, Yearly Number of Hours during trading: 1, Yearly Duties: Power of Attorney for Self, Child/Grandchild I*2929289 Entity Type: N/A Name of OBA: D F Address: Saint Paul, Minnesota, 55116 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 09/30/2025 Number of Hours: 1, Yearly Number of Hours during trading: 1, Yearly Duties: Power of Attorney for Self, Child/Grandchild I*1922318 Entity Type: N/A Name of OBA: O R F TOD BENEFICIARIES ON FILE Address: Saint Paul, Minnesota, 55116 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 07/16/2024 Number of Hours: 1, Yearly Number of Hours during trading: 1, Yearly Duties: Power of Attorney for Child/Grandchild

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-12-30
  • S66 Uniform Combined State Law Examination
    1999-12-30
Designations

View on SEC IAPD

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