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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 2012-07-17
IA RA APPROVED 2012-05-01
  • TX RA
    APPROVED
    Since 2012-07-17
  • IA RA
    APPROVED
    Since 2012-05-01

Branch Locations

4550 E 53Rd St, Davenport, IA 52807 • 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 Davenport IA 03/2007 Present
Bank Of America, N.A. Davenport IA 08/2012 Present
Other Businesses

I*100159 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: FAMILY FOUNDATION INVESTMENT RELATED: Y ADDRESS OF BUSINESS: LE CLAIRE, IOWA 52753 NATURE OF BUSINESS: CORPORATION, POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 11/14/2016 NUMBER OF HOURS DEVOTED: 20 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: TREASURER OF FAMILY FOUNDATION, GRANTING FUNDS FOR LOCAL QC REGISTERED 501 C 3 ORGANIZATIONS' PROJECTS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-04-30
  • S66 Uniform Combined State Law Examination
    2012-04-30

View on SEC IAPD

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