Brian D Sheppard

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2014-08-01
IL	RA	APPROVED	2011-11-21

TX RA
APPROVED_RES

Since 2014-08-01
IL RA
APPROVED

Since 2011-11-21

Branch Locations

21805 W Field Pkwy, Deer Park, IL 60010 • United States

Chicago, IL • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Barrington	IL	01/2008	Present
Bank Of America, N.A.	Deer Park	IL	04/2013	Present

01/2008 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Barrington, IL
04/2013 → Present

Bank Of America, N.A.

Deer Park, IL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2011-11-18

S66 Uniform Combined State Law Examination

2011-11-18

Other Names

Brian Sheppard

View on SEC IAPD

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosures

Employment History

Exams

Other Names

Other Firms

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