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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 2004-03-23
  • MN RA
    APPROVED
    Since 2013-11-01
  • TX RA
    APPROVED
    Since 2004-03-23

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 Inc. Minneapolis MN 09/2002 Present
Bank Of America, N.A. Minneapolis MN 06/2011 Present
  • 09/2002 → Present
    Merrill Lynch, Pierce, Fenner & Smith Inc.
    Minneapolis, MN
  • 06/2011 → Present
    Bank Of America, N.A.
    Minneapolis, MN
Other Businesses

I*515968For profit or not for profit: Entity For ProfitName of outside business organization: Broughton Ruffo Cousins, LLCInvestment related: NAddress of business: Minneapolis, Minnesota, 55413Nature of business: ["Limited Liability Company"]Position, title, association: ["General Partner/Managing Member"], Start date of relationship: 8/4/2021Number of hours devoted: 1 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: , Administrative detail as required by the LLC.I*1286251For profit or not for profit: Name of outside business organization: Boy Scouts of AmericaInvestment related: NAddress of business: OBA, OBA, OBANature of business: ["Charitable Organization"]Position, title, association: ["Committee"], [["Fundraising committee"]]Start date of relationship: 5/31/2023Number of hours devoted: 2 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: , BSA exists to train young adults to become leaders. I will be serving as a fundraising committee member I*2913277 Entity Type: N/A Name of OBA: Dead Equity Address:Saint Paul Minnesota Investment Related:No Position, Title, Association:N/A Start Date:09/28/2025 No Hours: 2 Monthly No Hours during trading:2 Monthly Duties:We're a dad garage band I'm the drummer

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-12-19
  • S66 Uniform Combined State Law Examination
    2002-12-19
Designations
Other Names
  • Walter Broughton
  • Walter Thomas Broughton
  • Walter T Broughton
  • Hudie Broughton

View on SEC IAPD

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