Joshua Spungen

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2018-03-22
IL	RA	APPROVED	2015-11-09

TX RA
APPROVED_RES

Since 2018-03-22
IL RA
APPROVED

Since 2015-11-09

Branch Locations

1033 Skokie Blvd, Northbrook, IL 60062 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Northbrook	IL	07/2015	Present
Bank Of America, N.A.	Northbrook	IL	10/2015	Present

07/2015 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Northbrook, IL
10/2015 → Present

Bank Of America, N.A.

Northbrook, IL

Other Businesses

I*4377270 Entity Type: Fiduciary role Name of OBA: M. H. A. 2025 GST Exempt Irrevocable Trust Address: Boulder, Colorado, 80304 Investment Related: No Position, Title, Association: Co-Trustee Employee Start Date: 05/01/2026 Number of Hours: 2, Weekly Number of Hours during trading: 2, Weekly Duties: Co-Trustee/Cousin

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2015-11-06

S66 Uniform Combined State Law Examination

2015-11-06

View on SEC IAPD

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosures

Employment History

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

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