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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 2015-08-24
MI RA APPROVED 2015-08-17
  • TX RA
    APPROVED
    Since 2015-08-24
  • MI RA
    APPROVED
    Since 2015-08-17

Branch Locations

750 Trade Centre Way, Portage, MI 49002 • United States

Kalamazoo, MI • 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 Portage MI 06/2015 Present
Bank Of America, N.A. Portage MI 08/2015 Present
Previous Registrations
  • 2013-12-03 → 2014-11-25
    Barclays Capital Inc.
    Chicago, IL
Other Businesses

I*101712 For profit or not for profit: Non-Profit Organization Name of outside business organization: Elizabeth Upjohn Community Healing Center Investment related: N Address of business: Kalamazoo, Michigan 49008 Nature of business: Charitable Organization, Position, title, association: Committee Member, Start date of relationship: 4/17/2019 Number of hours devoted: 28 hour(s) Annually Number of hours devoted during trading hours: 4 Duties: I would like accept the roll of co-committee board chair for a fundraising event called Serve for Kids, benefitting the Elizabeth Upjohn Community Healing Center. Responsibilities:set up and take down of the event, supply table linens I*111834 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: FARMERS ALLEY THEATRE INVESTMENT RELATED: N ADDRESS OF BUSINESS: KALAMAZOO, MICHIGAN 49007 NATURE OF BUSINESS: OTHER,501(C)(3) POSITION, TITLE, ASSOCIATION: PARTICIPANT, START DATE OF RELATIONSHIP: 2/12/2018 NUMBER OF HOURS DEVOTED: 20 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: FARMERS ALLEY THEATRE IS PRODUCING THE COMEDY PLAY, IT'S ONLY A PLAY, BY TERENCE MCNALLY. I HAVE BEEN OFFERED A SUPPORTING CHARACTER ROLE OF VIRGINIA.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-11-27
S63 Uniform Securities Agent State Law Examination 2013-07-29
  • S66 Uniform Combined State Law Examination
    2013-11-27
  • S63 Uniform Securities Agent State Law Examination
    2013-07-29
Other Names
  • Tara Brigid Nulty
  • Tara Nulty Callaghan

View on SEC IAPD

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