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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2013-11-20
TX RA APPROVED_RES 2006-12-01
  • MN RA
    APPROVED
    Since 2013-11-20
  • TX RA
    APPROVED_RES
    Since 2006-12-01

Branch Locations

130 W Superior St, Duluth, MN 55802 • 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 Duluth MN 11/2006 Present
Bank Of America, N.A. Duluth MN 08/2009 Present
Other Businesses

I*83355For profit or not for profit: Non-Profit OrganizationName of outside business organization: Northland Country ClubInvestment related: NAddress of business: Duluth, Minnesota 55804Nature of business: CorporationPosition, title, association: Trustee, Start date of relationship: 7/17/2015Number of hours devoted: 18 hour(s) AnnuallyNumber of hours devoted during trading hours: 1Duties: Director. Strategic Planning I*127696For profit or not for profit: Non-Profit OrganizationName of outside business organization: Ordean FoundationInvestment related: NAddress of business:Duluth, Minnesota 55802Nature of business: Charitable Organization,Position, title, association: , Start date of relationship: 11/1/2019Number of hours devoted: 13 hour(s) AnnuallyNumber of hours devoted during trading hours: 10Duties: Purpose is to have long term solutions that address systemic poverty in the community. My responsibility will be to provide strategic vision by being a trustee of the board. I*1044277For profit or not for profit: Name of outside business organization: Essentia Health East Market (SMDC)Investment related: NAddress of business: Duluth, Minnesota, 55805Nature of business: ["Hospital or Healthcare System"]Position, title, association: ["Director"], Start date of relationship: 1/2/2023Number of hours devoted: 24 hour(s) YearlyNumber of hours devoted during trading hours: 24Duties: , Documentation Attached I*1400267For profit or not for profit: Name of outside business organization: Ordean FoundationInvestment related: NAddress of business: , , , Nature of business: Position, title, association: , Start date of relationship: Number of hours devoted: hour(s) Number of hours devoted during trading hours: Duties: , Ordean core focus is on poverty. Basic needs and to break generational cycle of poverty. Finance Committee Chair. I*418902, Entity Type: Entity Charitable, Name of OBA: Ordean Foundation, Address: Duluth, Minnesota, 55802, Investment Related: N, Position, Title, Association: Board Member, Officer, Employee State Date: 11/01/2019, No Hours: 13 Yearly, No Hours during Trading: 10 Yearly, Duties: governance of its mission and purpose as a board of director and VP, support poverty and a healthier communit I*429843, Entity Type: , Name of OBA: Northland Country Club, Address: Duluth, Minnesota, 55804, Investment Related: N, Position, Title, Association: Board Member, Employee State Date: 06/07/2022, No Hours: 8 Monthly, No Hours during Trading: 2 Monthly, Duties: governance of its members goals of social benefit, provide members with private club experience focused on golf, social activities, and dining

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-03-24
S63 Uniform Securities Agent State Law Examination 1993-08-17
  • S65 Uniform Investment Adviser Law Examination
    1995-03-24
  • S63 Uniform Securities Agent State Law Examination
    1993-08-17
Other Names
  • Tony Yung
  • Tony Yung

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