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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2010-09-17
TX RA APPROVED_RES 2009-06-12
  • MI RA
    APPROVED
    Since 2010-09-17
  • TX RA
    APPROVED_RES
    Since 2009-06-12

Branch Locations

250 Monroe Ave Nw, Grand Rapids, MI 49503 • 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 Grand Rapids MI 03/1990 Present
Bank Of America, N.A. Grand Rapids MI 06/2011 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-09-12
S63 Uniform Securities Agent State Law Examination 1990-08-03
  • S65 Uniform Investment Adviser Law Examination
    1994-09-12
  • S63 Uniform Securities Agent State Law Examination
    1990-08-03

View on SEC IAPD

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