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Joel F Dunfee

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Sioux Falls, SD

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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 2025-01-15
SD RA APPROVED 2024-10-21
  • TX RA
    APPROVED
    Since 2025-01-15
  • SD RA
    APPROVED
    Since 2024-10-21

Branch Locations

110 S Phillips Ave, Sioux Falls, SD 57104 • 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
Citigroup Global Markets Inc. San Antonio TX 05/2007 09/2024
Merrill Lynch, Pierce, Fenner & Smith Incorporated Sioux Falls SD 09/2024 Present
Bank Of America, N.A. Sioux Falls SD 10/2024 Present
Previous Registrations
  • 2016-11-01 → 2024-09-26
    Citigroup Global Markets Inc.
    San Antonio, TX
    Jacksonville, FL
    San Antonio, TX
    San Antonio, TX
    Jacksonville, FL
    San Antonio, TX
    San Antonio, TX
    San Antonio, TX
    San Antonio, TX
    Irving, TX
    San Antonio, TX
    Jacksonville, FL
    San Antonio, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-11-01
S63 Uniform Securities Agent State Law Examination 2007-01-05
  • S65 Uniform Investment Adviser Law Examination
    2016-11-01
  • S63 Uniform Securities Agent State Law Examination
    2007-01-05
Other Names
  • Joel Dunfee
  • Joel Frederick Dunfee

View on SEC IAPD

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MARINER · Sioux Falls, SD
MARINER · Sioux Falls, SD
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RBC CAPITAL MARKETS, LLC · SIOUX FALLS, SD
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