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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2010-09-17
TX RA APPROVED_RES 1996-06-25
  • MI RA
    APPROVED
    Since 2010-09-17
  • TX RA
    APPROVED_RES
    Since 1996-06-25

Branch Locations

39001 W 12 Mile Rd, Farmington Hills, MI 48331 • 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 Farmington Hills MI 04/1994 Present
Bank Of America, N.A. Farmington Hills MI 07/2011 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-05-19
S63 Uniform Securities Agent State Law Examination 1994-05-12
  • S65 Uniform Investment Adviser Law Examination
    1994-05-19
  • S63 Uniform Securities Agent State Law Examination
    1994-05-12

View on SEC IAPD

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