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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 2014-12-10
MO RA APPROVED 2014-10-28
  • TX RA
    APPROVED
    Since 2014-12-10
  • MO RA
    APPROVED
    Since 2014-10-28

Branch Locations

400 Chesterfield Ctr, Chesterfield, MO 63017 • 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 Ellisville MO 09/2014 Present
Bank Of America, N.A. Ellisville MO 12/2014 Present
Other Businesses

I*136355 For profit or not for profit: For-Profit Organization Name of outside business organization: Gaffney & Sons LLC Investment related: N Address of business: Ballwin, Missouri 63021 Nature of business: LLC, Position, title, association: Owner, Start date of relationship: 1/15/2021 Number of hours devoted: 0 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: This is an LLC that my wife and I created to title a small vacation property. I*1079264 For profit or not for profit: Entity Charitable Name of outside business organization: American Cancer Society Investment related: N Address of business: St. Louis, Missouri, 63146 Nature of business: ["Charitable Organization"] Position, title, association: ["Committee"], [["Other"]] Start date of relationship: 1/2/2023 Number of hours devoted: 5 hour(s) Monthly Number of hours devoted during trading hours: 1 Duties: This is a nomination to the Nationwide Gift Planning Advisor Council for the American Cancer Society. The council meets quarterly with the objective being to increase the quality and quantity of planned and major gifts to The American Cancer Society.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-09-11
  • S66 Uniform Combined State Law Examination
    2014-09-11
Other Names
  • Mike Gaffney
  • Michael Glenn Gaffney

View on SEC IAPD

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