Timothy A Poe

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2013-01-17
IL	RA	APPROVED	2011-10-04

TX RA
APPROVED

Since 2013-01-17
IL RA
APPROVED

Since 2011-10-04

Branch Locations

1100-1800 American Blvd Retirement & Personal Wealth Solutions, Pennington, NJ 08534 • United States

139 N Cass Ave, Westmont, IL 60559 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Denver	CO	04/2011	Present

04/2011 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Denver, CO

Other Businesses

I*78929 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: DLB GROUP, INC. INVESTMENT RELATED: N ADDRESS OF BUSINESS: BOLINGBROOK, ILLINOIS 60490 NATURE OF BUSINESS: S-CORP, POSITION, TITLE, ASSOCIATION: OTHER, COMPANY SECRETARY FOR PURPOSES OF RECORDS ACCESS START DATE OF RELATIONSHIP: 2/3/2015 NUMBER OF HOURS DEVOTED: 0 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: BLD GROUP, INC PROVIDES ADMINISTRATIVE SERVICES AS A CONTRACTOR FOR M4D MARKETING FIRM. MY SPOUSE, TARA POE, IS THE PRESIDENT OF DLB GROUP INC. AND IT'S ONLY ACTIVE EMPLOYEE. I WAS ADDED AS SECRETARY FOR ACCOUNT ACCESS SHOULD SOMETHING HAPPEN TO HER

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2011-09-29
S63	Uniform Securities Agent State Law Examination	2003-03-21

S66 Uniform Combined State Law Examination

2011-09-29
S63 Uniform Securities Agent State Law Examination

2003-03-21

Other Names

Timothy Alan Poe

View on SEC IAPD