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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2008-12-02
IL RA APPROVED 2008-12-01
  • TX RA
    APPROVED_RES
    Since 2008-12-02
  • IL RA
    APPROVED
    Since 2008-12-01

Branch Locations

1033 Skokie Blvd, Northbrook, IL 60062 • 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 : Northbrook IL 11/2008 Present
Bank Of America, N.A. Northbrook IL 12/2009 Present
  • 11/2008 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated :
    Northbrook, IL
  • 12/2009 → Present
    Bank Of America, N.A.
    Northbrook, IL
Previous Registrations
  • 2007-04-02 → 2008-12-05
    Morgan Stanley & Co. Llc
    Riverwoods, IL
  • 1998-02-14 → 2007-04-02
    Morgan Stanley Dw Inc.
    Riverwoods, IL
    Riverwoods, IL
Other Businesses

I*89518 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: JOHN JAWOR RENTAL PROPERTY INVESTMENT RELATED: N ADDRESS OF BUSINESS: WINNETKA, ILLINOIS 60093 NATURE OF BUSINESS: TRUST, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 1/1/2016 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: LANDLORD

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-02-17
S63 Uniform Securities Agent State Law Examination 1992-11-30
  • S65 Uniform Investment Adviser Law Examination
    1998-02-17
  • S63 Uniform Securities Agent State Law Examination
    1992-11-30

View on SEC IAPD

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