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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 2020-01-07
MT RA APPROVED 2019-11-27
  • TX RA
    APPROVED
    Since 2020-01-07
  • MT RA
    APPROVED
    Since 2019-11-27

Branch Locations

3412 Colton Blvd, Billings, MT 59102 • 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 Billings MT 08/2019 Present
Baker Hughes Cheyenne WY 09/2017 08/2019
Baker Hughes Great Falls MT 02/2016 09/2017
Bank Of America, N.A. Billings MT 09/2019 Present
Other Businesses

I*1004317 For profit or not for profit: Entity Charitable Name of outside business organization: Billings Catholic Schools Foundation Investment related: N Address of business: OBA, OBA, OBA Nature of business: ["School, College or University"] Position, title, association: ["Board Member"], Start date of relationship: 9/1/2023 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , The entity's purpose is to provide for the long term success of the Billings Catholic Schools. Responsibilities I will perform include, being a Board member and a member on the Investment committee. Merrill Lynch does not manage any of their assets. There is not any compensation for the position and I will not have any access to the funds. The investment committee positions is strictly an oversight role to apply adherence to the investment policy statement. As a board member, I will be apart of an 18 person committee to oversee the mission of the foundation. Our responsibility is to protect the trust and assure that activities are directed toward the accomplishment of the objectives of the organization. A key responsibility of the board is to maintain objectivity and avoid any appearance of conflict of interest that might adversely affect the Billings Catholic Schools Foundation. I*1549267 For profit or not for profit: Name of outside business organization: Investment related: N Address of business: Centennial, Colorado, 80122, United States Nature of business: Position, title, association: Power of Attorney, Start date of relationship: 10/24/2023 Number of hours devoted: 1 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: ,

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-11-25
  • S66 Uniform Combined State Law Examination
    2019-11-25

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