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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 2007-02-27
IL RA APPROVED 2005-12-07
  • TX RA
    APPROVED
    Since 2007-02-27
  • IL RA
    APPROVED
    Since 2005-12-07

Branch Locations

3161 W White Oaks Dr, Springfield, IL 62704 • United States

230 Sw Adams St, Peoria, IL 61602 • 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 Springfield IL 09/2005 Present
Bank Of America, Na Springfield IL 12/2009 Present
Other Businesses

I*77847 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: ABRAHAM LINCOLN HEALTHCARE FOUNDATION INVESTMENT RELATED: N ADDRESS OF BUSINESS: LINCOLN, ILLINOIS 62656 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: OFFICER, START DATE OF RELATIONSHIP: 1/1/2015 NUMBER OF HOURS DEVOTED: 20 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 4 DUTIES: FOUNDATION RAISES MONEY TO SUPPORT THE MISSION OF THE LOCAL HOSPITAL. I AM THE CHAIRMAN OF THE FOUNDATION BOARD. I*119088 For profit or not for profit: Non-Profit Organization Name of outside business organization: Lincoln College Investment related: N Address of business: Lincoln, Illinois 62656 Nature of business: Charitable Organization, Position, title, association: Trustee, Start date of relationship: 9/28/2018 Number of hours devoted: 40 hour(s) Annually Number of hours devoted during trading hours: 20 Duties: Lincoln College is a private college issuing Associates and Bachelors degrees. I am a member of the board of trustees, which involves helping to guide the strategic initiatives of the school. I*1737299 Entity Charitable Name of OBA: Memorial Health Address: Springfield, Illinois, 62702 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 03/20/2024 No Hours: 5 No Hours during trading: 2 Duties:Entity is a local non-profit organization serving Springfield, Decatur, Jacksonville, Lincoln, Taylorville, and other central Illinois communities.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-12-06
  • S66 Uniform Combined State Law Examination
    2005-12-06

View on SEC IAPD

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