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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 2014-07-02
TX RA APPROVED_RES 2014-07-02
  • IL RA
    APPROVED
    Since 2014-07-02
  • TX RA
    APPROVED_RES
    Since 2014-07-02

Branch Locations

230 Sw Adams St, Peoria, IL 61602 • 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 Peoria IL 07/2014 Present
Bank Of America, N.A. Peoria IL 07/2014 Present
Previous Registrations
  • 2009-06-01 → 2014-07-21
    Peoria, IL
    Peoria, IL
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Peoria, IL
  • 2004-10-29 → 2007-04-02
    Morgan Stanley Dw Inc.
    Peoria, IL
    Peoria, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-10-28
  • S66 Uniform Combined State Law Examination
    2004-10-28

View on SEC IAPD

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