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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 2010-09-01
TX RA APPROVED_RES 1999-02-25
  • MI RA
    APPROVED
    Since 2010-09-01
  • TX RA
    APPROVED_RES
    Since 1999-02-25

Branch Locations

750 Trade Centre Way, Portage, MI 49002 • 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 Kalamazoo MI 02/1991 Present
Bank Of America, Na Kalamazoo MI 12/2009 Present
Other Businesses

I*64067 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: KALAMAZOO SAFARI COMPANY, LLC INVESTMENT RELATED: N ADDRESS OF BUSINESS: KALAMAZOO, MICHIGAN 49009 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 6/11/2013 NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 4 DUTIES: KALAMAZOO SAFARI COMPANY, LLC WILL PARTNER WITH OTHER TANZANIAN SAFARI COMPANIES TO PROVIDE CUSTOMIZED SAFARIS IN EAST AFRICA - PRIMARILY TO TANZANIA. I WILL PROVIDE SUPPORT TO MY PARTNER (MY HUSBAND) IN ANY MANNER REQUIRED OF A SMALL BUSINESS OWNER I*104915 For profit or not for profit: Non-Profit Organization Name of outside business organization: YWCA Kalamazoo Investment related: N Address of business: Kalamazoo, Michigan 49007 Nature of business: Charitable Organization, Position, title, association: Committee Member, Start date of relationship: 4/26/2017 Number of hours devoted: 2 hour(s) Quarterly Number of hours devoted during trading hours: 2 Duties: I have been asked to be one of an 8 member Investment Committee. The role is to serve in an advisory manner. I will not be making any investment recommendations nor will I be an decision maker. I*127483 For profit or not for profit: Non-Profit Organization Name of outside business organization: Inner City Youth for Change Investment related: N Address of business: Kalamazoo, Michigan 49019 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 11/17/2019 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: My responsibility will a Board level position with a current focus on events and awareness and fund raising through these events. My primary role will be advising the director and Chairman. I*413122 For profit or not for profit: Name of outside business organization: Girl Scouts Heart of Michigan Investment related: N Address of business: Kalamazoo, Michigan Nature of business: Position, title, association: , Start date of relationship: Number of hours devoted: hour(s) Number of hours devoted during trading hours: Duties: , I work on a committee whose focus is the annual fundraiser I*965637 For profit or not for profit: Name of outside business organization: American Heart Association - Kalamazoo Go Red Investment related: N Address of business: , , Nature of business: Position, title, association: , Start date of relationship: Number of hours devoted: hour(s) Number of hours devoted during trading hours: Duties: , committee work to help organize their local annual fundraiser which is called Go Red

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-08-12
S63 Uniform Securities Agent State Law Examination 1993-04-08
  • S65 Uniform Investment Adviser Law Examination
    1994-08-12
  • S63 Uniform Securities Agent State Law Examination
    1993-04-08
Designations
Other Names
  • Janene E Weathers
  • Janene Evelyn Weathers

View on SEC IAPD

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