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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 2024-08-28
MI RA APPROVED 2010-10-25
TX RA APPROVED_RES 2005-04-15
  • WI RA
    APPROVED
    Since 2024-08-28
  • MI RA
    APPROVED
    Since 2010-10-25
  • TX RA
    APPROVED_RES
    Since 2005-04-15

Branch Locations

250 Monroe Ave Nw, Grand Rapids, MI 49503 • United States

Shelby Township, MI • 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, Inc. Farmington Hills MI 12/1999 Present
Bank Of America, Na Farmington Hills MI 09/2009 Present
  • 12/1999 → Present
    Merrill Lynch, Pierce, Fenner & Smith, Inc.
    Farmington Hills, MI
  • 09/2009 → Present
    Bank Of America, Na
    Farmington Hills, MI
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-10-15
S65 Uniform Investment Adviser Law Examination 1997-09-02
S63 Uniform Securities Agent State Law Examination 1990-01-08
  • S66 Uniform Combined State Law Examination
    2010-10-15
  • S65 Uniform Investment Adviser Law Examination
    1997-09-02
  • S63 Uniform Securities Agent State Law Examination
    1990-01-08

View on SEC IAPD

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