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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2014-06-13
TX RA APPROVED 2014-06-13
  • MN RA
    APPROVED
    Since 2014-06-13
  • TX RA
    APPROVED
    Since 2014-06-13

Branch Locations

315 Lake St E, Wayzata, MN 55391 • United States

Maple Lake, MN • 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 Minneapolis MN 06/2014 Present
Previous Registrations
  • 2009-06-01 → 2014-06-25
    Minneapolis, MN
  • 2009-02-12 → 2009-06-01
    Morgan Stanley & Co. Llc
    Minneapolis, MN
Other Businesses

I*92416For profit or not for profit: For-Profit OrganizationName of outside business organization: Impeccable Steil LLCInvestment related: NAddress of business:Spring Lake Park, Minnesota 55432Nature of business: LLC,Position, title, association: Consultant, Start date of relationship: 2/5/2016Number of hours devoted: 0 hour(s) AnnuallyNumber of hours devoted during trading hours: 0Duties: This is my wife's LLC and she named me as an authorized agent in case anything happened to her. As of yet, I have no responsibilities or tasks in relation to her business. I*492935, Entity Type: , Name of OBA: G M. H-S, Address: Maple Lake, Minnesota, 55358, Investment Related: N, Position, Title, Association: Power of Attorney, Employee Start Date: 01/01/2019, No Hours: 1 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-05-04
S63 Uniform Securities Agent State Law Examination 2000-08-18
  • S66 Uniform Combined State Law Examination
    2009-05-04
  • S63 Uniform Securities Agent State Law Examination
    2000-08-18

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