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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2015-04-24
  • IL RA
    APPROVED
    Since 2015-04-24

Branch Locations

230 Sw Adams St, Peoria, IL 61602 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • 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 Peoria IL 04/2015 Present
Bank Of America, N.A. Peoria IL 06/2015 Present
Previous Registrations
  • 2009-06-01 → 2015-05-05
    Peoria, IL
    Peoria, IL
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Peoria, IL
  • 2005-01-07 → 2007-04-02
    Morgan Stanley Dw Inc.
    Peoria, IL
    Peoria, IL
  • 2004-02-03 → 2005-01-04
    East Peoria, IL
Other Businesses

PEORIA PARK DISTRICT GOLF COMMITTEE; 10 HRS PER YEAR; PEORIA, IL; MEMBER OF AN ADHOC GOLF COMMITTEE; STARTED APROX. 2003

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-01-05
  • S66 Uniform Combined State Law Examination
    2004-01-05

View on SEC IAPD

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