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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2017-10-05
MI RA APPROVED 2010-05-12
IL RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2017-10-05
  • MI RA
    APPROVED
    Since 2010-05-12
  • IL RA
    APPROVED
    Since 2009-10-23

Branch Locations

3030 Cross Creek Pkwy, Auburn Hills, MI 48326 • 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 Auburn Hills MI 10/2009 Present
Bank Of America, N.A. Auburn Hills MI 12/2009 Present
Previous Registrations
  • 2008-10-24 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Clarkston, MI
    Boston, MA
    Clarkston, MI
  • 2006-11-02 → 2008-10-24
    Lasalle Financial Services, Inc.
    Lake Orion, MI
    Chicago, IL
    Clarkston, MI
    Lake Orion, MI
    Waterford, MI
    West Bloomfield, MI
    Lake Orion, MI
    Waterford, MI
    Clarkston, MI
    Waterford, MI
    West Bloomfield, MI
    Lake Orion, MI
    Chicago, IL
Other Businesses

1.) TRAVEL SOCCER TRAINER FOR LOBOS (SOCCER TRAINING BUSINESS).FINANCIAL INTEREST IN THE COMPANY, CONDUCT TRAINING SESSIONS BIWEEKLY FROM 6:30-8:00 P.M., APPROXIMATELY 15 HOURS A MONTH. NONE OF THIS IS DURING NORMAL BUSINESS HOURS. INVOLVED SINCE APPROXIMATELY 2002; 2% OF MY EARNED INCOME IS DERIVED FROM THIS BUSINESS. LAKE ORION, MICHIGAN 48360 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: LIMITED PARTNER, START DATE OF RELATIONSHIP: 40507 NUMBER OF HOURS DEVOTED: 5 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: TO ACQUIRE, IMPROVE, AND SELL REAL ESTATE PROPERTIES.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-01-30
  • S66 Uniform Combined State Law Examination
    2004-01-30

View on SEC IAPD

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