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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2020-12-15
MO RA APPROVED 2006-10-18
TX RA APPROVED_RES 2006-10-18
  • FL RA
    APPROVED
    Since 2020-12-15
  • MO RA
    APPROVED
    Since 2006-10-18
  • TX RA
    APPROVED_RES
    Since 2006-10-18

Branch Locations

400 Chesterfield Ctr, Chesterfield, MO 63017 • United States

Inlet Beach, FL • United States

Disclosures

1 disclosure category 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 No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691 Chesterfield MO 10/2006 Present
Bank Of America, N.A. Chesterfield MO 07/2011 Present
  • 10/2006 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
    Chesterfield, MO
  • 07/2011 → Present
    Bank Of America, N.A.
    Chesterfield, MO
Previous Registrations
Other Businesses

I*67937 For profit or not for profit: For-Profit Organization Name of outside business Treasurerorganization: WB Capital Partners IV Investment related: No Address of business: Wilson, Wyoming 83014 Nature of business: LLC Position, title, association: Other, my wife is a member of the LLC Start date of relationship: 11/15/2013 Number of hours devoted: 0 Number of hours devoted during trading hours: 0 Duties: This LLC will own a commerical realestate building in St Paul Minnesota. My wife is a member of this LLC and I was told that I need to disclose her position as a member of the LLC I*: 2172345 Entity Type: Co-op, HOA Name of OBA: Pine Creek Homeowner's Association Address: Wildwood, MO 63005 Investment Related: No Position, Title, Association: Treasurer Employee Start Date: 01/29/2025 Number of Hours: 1 hr mthly Number of Hours during trading: 0 Duties: Prepare a budget and report to the home owners the status of budget along with proposing appropriate budgets and assessments to cover the costs of maintaining the residential subdivision.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-03-05
S63 Uniform Securities Agent State Law Examination 1991-02-06
  • S65 Uniform Investment Adviser Law Examination
    1998-03-05
  • S63 Uniform Securities Agent State Law Examination
    1991-02-06
Other Names
  • Todd Wahl

View on SEC IAPD

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