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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2020-02-14
  • WI RA
    APPROVED
    Since 2020-02-14

Branch Locations

833 E Michigan St, Milwaukee, WI 53202 • United States

45 William St, Wellesley Hills, MA 02481 • 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 Milwaukee WI 09/2019 Present
Niu- Finance Dekalb IL 01/2014 05/2017
Purdue - Polytechnic West Lafayette IN 05/2017 01/2019
Self-Employed Milwaukee WI 01/2019 09/2019
Premier Graphics And Promotions Barrington IL 05/2014 05/2017
Bank Of America, N.A. Milwaukee WI 10/2019 Present
  • 09/2019 → Present
    Milwaukee, WI
  • 01/2014 → 05/2017
    Niu- Finance
    Dekalb, IL
  • 05/2017 → 01/2019
    Purdue - Polytechnic
    West Lafayette, IN
  • 01/2019 → 09/2019
    Self-Employed
    Milwaukee, WI
  • 05/2014 → 05/2017
    Premier Graphics And Promotions
    Barrington, IL
  • 10/2019 → Present
    Bank Of America, N.A.
    Milwaukee, WI
Other Businesses

No official business name. Investment-Related: No Location: my apartment( Milwaukee, WI, ) business: Buying/Selling Collectible Cards Position: Owner Title: N/A Start Date: 03/2019 Approximate hours/month: 1hr/day or ~30hours a month Number of hours during securities trading hours: 0 Duties: Search for good deals on items/ negotiate with buyers/sellers to make a deal in my favor/ Build client relationships / sell and market product I*128897 For profit or not for profit: For-Profit Organization Name of outside business organization: Selling Old Collectible Cards Investment related: N Address of business: Milwaukee, Wisconsin 53203 Nature of business: Other,N/A Position, title, association: Other, collector that sells some of the more valuablecard Start date of relationship: 8/1/2019 Number of hours devoted: 45 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: I sell older cards that have been collected over the years. Buy other peoples collections and sell some for profit. Essentially buying and selling collectible items.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-02-13
  • S66 Uniform Combined State Law Examination
    2020-02-13
Other Names
  • Shane Evans

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