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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 2013-11-18
MN RA APPROVED 2013-11-01
  • TX RA
    APPROVED
    Since 2013-11-18
  • MN RA
    APPROVED
    Since 2013-11-01

Branch Locations

30 E 7Th St, Saint Paul, MN 55101 • 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 St Paul MN 05/2000 Present
Bank Of America, Na St Paul MN 12/2009 Present
Other Businesses

I*655249 For profit or not for profit: Name of outside business organization: Rental Property 1 Investment related: N Address of business: Kihei, Hawaii, 96753 Nature of business: Position, title, association: Sole owner, Start date of relationship: 12/22/2021 Number of hours devoted: 1 hour(s) Weekly Number of hours devoted during trading hours: 0 Duties: ,

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-08-21
  • S66 Uniform Combined State Law Examination
    2000-08-21
Designations

View on SEC IAPD

Other Firms

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