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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 2009-03-19
IL RA APPROVED 2008-12-04
  • TX RA
    APPROVED
    Since 2009-03-19
  • IL RA
    APPROVED
    Since 2008-12-04

Branch Locations

21805 W Field Pkwy, Deer Park, IL 60010 • 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 Barrington IL 06/2006 Present
Other Businesses

I*21362 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: ST. MATTHEW LUTHERAN CHURCH INVESTMENT RELATED: N ADDRESS OF BUSINESS: BARRINGTON, ILLINOIS 60010 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: PART-TIME, START DATE OF RELATIONSHIP: 8/1/1989 NUMBER OF HOURS DEVOTED: 25 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: DIRECTOR OF MUSIC ADMINISTER MUSIC PROGRAM - DIRECT 2 CHOIRS, PLAN ALL MUSIC FOR SUNDAYS, CONCERTS AND SPECIAL SERVICES

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-12-02
  • S66 Uniform Combined State Law Examination
    2008-12-02
Other Names
  • Cathy Gathman

View on SEC IAPD

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