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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 2002-02-20
TX RA APPROVED_RES 2000-10-03
IA RA APPROVED 1999-07-19
  • IL RA
    APPROVED
    Since 2002-02-20
  • TX RA
    APPROVED_RES
    Since 2000-10-03
  • IA RA
    APPROVED
    Since 1999-07-19

Branch Locations

2205 E Empire St, Bloomington, IL 61704 • United States

Bloomington, 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Des Moines IA 05/1999 Present
Bank Of America,Na Bloomington IL 09/2009 Present
Other Businesses

I*121710 For profit or not for profit: Non-Profit Organization Name of outside business organization: Chicagoland Chapter of the Hutchinson Bell Investment related: N Address of business: 119 N Glen Arven Ave, Temple Terrace, Florida 33617 Nature of business: Charitable Organization, Compensation for Activity: N Position, title, association: Advisory Board Member, Start date of relationship: 6/1/2019 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: The Chicagoland Chapter of the Hutchinson Bell is a booster club for Florida College. Primary function is to see to summer camp activities and approve (collectively) of budget, expenditures, etc. Promote enrollment at FC.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-07-02
  • S66 Uniform Combined State Law Examination
    1999-07-02

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