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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MT RA APPROVED 2021-03-02
MN RA APPROVED 2013-11-05
TX RA APPROVED_RES 1996-04-08
  • MT RA
    APPROVED
    Since 2021-03-02
  • MN RA
    APPROVED
    Since 2013-11-05
  • TX RA
    APPROVED_RES
    Since 1996-04-08

Branch Locations

30 E 7Th St, Saint Paul, MN 55101 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated St Paul MN 10/1990 Present
Bank Of America, N.A. St. Paul MN 06/2011 Present
Other Businesses

I*71603 FOR-PROFIT ORGANIZATION - RALSTON GAP CATTLE CO, CHOUTEAU, MONTANA 55044 - INVESTMENT RLT'D - NO, HRS DEVOTED TO ACTIVITY - 0, HRS DURING TRADING - 0, DATE ACTIVITY BEGAN 04/24/14, POSITION - OFFICER; CORPORATION - THIS IS MY WIFES FAMILY RANCH. SHE WILL INHERIT IT AT SOME POINT. THE PROPERTY ITSELF HAS BEEN LEASED OUT SO THE DAY TO DAY OPPERATION IS MINIMAL. ALL OPERATION IS DONE BE MY FATHER IN-LAW. I AM INVOLVED A S A SHARE HOLDER AS ARE MY WIFE AND KID.BIG SKY FARMING,PRESIDENT-FAMILY CORPORATION SOON TO BE INACTIVEI*1612281Name of OBA: KP 1 LLCAddress: Lakeville, MinnesotaInvestment Related: NoPosition, Title, Association: OwnerEmployee Start Date: 12/15/2023No Hours: 0No Hours during trading: 0Duties:I am looking to purchase a Storage Flex Space and will rent it out to a private party I*, 2154294 Entity Type: Entity For Profit Name of OBA: Lazy M Bar Ag, LLC Address: Choteau, MT 59422 Investment Related: No Position, Title, Association: General Partner/Managing Member Employee Start Date: 01/02/2025 No Hours: 10hrs per year No Hours during trading: 0 Duties: Buy Cattle on our ranch Ralston Gap Cattle Co

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-07-08
S63 Uniform Securities Agent State Law Examination 1990-12-20
  • S65 Uniform Investment Adviser Law Examination
    1994-07-08
  • S63 Uniform Securities Agent State Law Examination
    1990-12-20
Other Names
  • Phil Bruneau
  • Philip Harry Bruneau

View on SEC IAPD

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