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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_RES 2024-09-01
OH RA APPROVED 2019-09-10
  • TX RA
    APPROVED_RES
    Since 2024-09-01
  • OH RA
    APPROVED
    Since 2019-09-10

Branch Locations

1375 E 9Th St, Cleveland, OH 44114 • United States

110 N Wacker Dr, Chicago, IL 60606 • 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
Pnc Bank Cleveland OH 01/2012 01/2017
Pnc Investments Cleveland OH 03/2012 01/2017
Wells Fargo Clearing Services, Llc Cleveland OH 01/2017 06/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated Pepper Pike OH 06/2019 Present
Bank Of America, N.A. Pepper Pike OH 06/2019 Present
Previous Registrations
Other Businesses

I*126786 For profit or not for profit: For-Profit Organization Name of outside business organization: 4777 Columbia LLC Investment related: N Address of business: North Olmsted, Ohio 44070 Nature of business: LLC, Position, title, association: Owner, Start date of relationship: 10/31/2015 Number of hours devoted: 0 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: The LLC was used for tax purposes to report rental income from a condominium. I*416406 For profit or not for profit: Entity Charitable Name of outside business organization: Towards Employment Investment related: N Address of business: Cleveland, Ohio, 44114, United States Nature of business: ["Charitable Organization"] Position, title, association: ["Committee","Board Member"], [["Finance committee"]] Start date of relationship: 6/12/2021 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 2 Duties: , TE is a proven leader in workforce development that connects people to careers, which changes people s lives, advances businesses, and strengthens community in Northeast Ohio.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-09-30
  • S66 Uniform Combined State Law Examination
    2012-09-30

View on SEC IAPD

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