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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 2021-05-28
MN RA APPROVED 2020-11-27
  • TX RA
    APPROVED
    Since 2021-05-28
  • MN RA
    APPROVED
    Since 2020-11-27

Branch Locations

315 Lake St E, Wayzata, MN 55391 • 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 Bloomington MN 09/2020 Present
Unemployed Edina MN 03/2019 09/2020
Pine River Capital Management L.P. Minnetonka MN 11/2015 03/2019
Bank Of America, N.A. Bloomington MN 12/2020 Present
  • 09/2020 → Present
    Bloomington, MN
  • 03/2019 → 09/2020
    Unemployed
    Edina, MN
  • 11/2015 → 03/2019
    Pine River Capital Management L.P.
    Minnetonka, MN
  • 12/2020 → Present
    Bank Of America, N.A.
    Bloomington, MN
Other Businesses

I*2297269, Entity Type: , Name of OBA: E S B, Address: Metairie, Louisiana, 70005, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 01-Apr-2025, No Hours: 0 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-11-24
  • S66 Uniform Combined State Law Examination
    2020-11-24
Other Names
  • Dave Barberot

View on SEC IAPD

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