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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 2014-04-24
IL RA APPROVED 1998-04-12
TX RA APPROVED_RES 1998-01-12
  • FL RA
    APPROVED
    Since 2014-04-24
  • IL RA
    APPROVED
    Since 1998-04-12
  • TX RA
    APPROVED_RES
    Since 1998-01-12

Branch Locations

2021 Spring Rd, Oak Brook, IL 60523 • United States

Fort Myers, FL • 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
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Oak Brook IL 12/1992 Present
Bank Of America, N.A. Oak Brook IL 12/2009 Present
Other Businesses

I*2969270, Entity Type: , Name of OBA: Individual, Address: Villa Park, IL, 60181, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 10/07/2025, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties: I*2969271, Entity Type: , Name of OBA: Individual, Address: Villa Park, Illinois, 60181, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 10/07/2025, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties: I*2970269, Entity Type: , Name of OBA: C S Trust, Address: Villa Park, Illinois, 60181, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 10/10/2025, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties: I*2981267, Entity Type: , Name of OBA: C A S TTEE U/A DTD 12/22/2004BY C A S, Address: Villa Park, Illinois, 60181, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 10/09/2025, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties: I*2981269, Entity Type: , Name of OBA: MLPF& S CUST FPO C A S RRA FBO C A S, Address: Villa Park , Illinois, 60181, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 10/09/2025, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties: I*2983264, Entity Type: , Name of OBA: MLPF& S CUST FPO C A S IRRA FBO C A S, Address: Villa Park , Illinois, 60181, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 10/09/2025, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties: I*3055264Entity Type:Name of OBA: C. S. REDACTED Address: Villa Park, Illinois, 60181Investment Related: NoPosition, Title, Association: Power of AttorneyEmployee Start Date: 10/22/2025Number of Hours: 1, MonthlyNumber of Hours during trading: 0Duties: I*3061264Entity Type: Fiduciary roleName of OBA: C. A. S.Address: Villa Park, Illinois, 60181Investment Related: NoPosition, Title, Association: Power of AttorneyEmployee Start Date: 10/23/2025Number of Hours: 1, MonthlyNumber of Hours during trading: 0Duties: Power of Attorney/Parent

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-08-25
S63 Uniform Securities Agent State Law Examination 1993-06-10
  • S65 Uniform Investment Adviser Law Examination
    1994-08-25
  • S63 Uniform Securities Agent State Law Examination
    1993-06-10
Other Names
  • Brian K Speers

View on SEC IAPD

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