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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 1998-04-12
TX RA APPROVED_RES 1997-05-20
  • IL RA
    APPROVED
    Since 1998-04-12
  • TX RA
    APPROVED_RES
    Since 1997-05-20

Branch Locations

2021 Spring Rd, Oak Brook, IL 60523 • 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 Oak Brook IL 06/1995 Present
Bank Of America, N.A. Oak Brook IL 07/2011 Present
Other Businesses

I*28158 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: SUNIL & MUNISHA SURI INVESTMENT RELATED: Y ADDRESS OF BUSINESS: 450 E. RIVERSIDE DR., UNIT 2305 CHICAGO, ILLINOIS 60601 NATURE OF BUSINESS: OTHER,SOLE OWNER POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 4/1/2008 NUMBER OF HOURS DEVOTED: 1 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: OWN CONDO WITH WIFE AND RENT IT. I*52495 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: MUNISHA SURI INVESTMENT RELATED: Y ADDRESS OF BUSINESS: BURR RIDGE, ILLINOIS 60527 NATURE OF BUSINESS: SOLE PROPRIETORSHIP, POSITION, TITLE, ASSOCIATION: OTHER, HUSBAND/WIFE START DATE OF RELATIONSHIP: 1/25/2011 NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 1 DUTIES: PURCHASES & SALES I*707228 For profit or not for profit: Name of outside business organization: Rental Property 1 Investment related: N Address of business: Chicago, Illinois, 60613 Nature of business: Position, title, association: Sole owner, Start date of relationship: 3/1/2022 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: ,

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-09-26
S63 Uniform Securities Agent State Law Examination 1992-02-24
  • S65 Uniform Investment Adviser Law Examination
    1995-09-26
  • S63 Uniform Securities Agent State Law Examination
    1992-02-24

View on SEC IAPD

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