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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2013-02-26 |
| SD | RA | APPROVED | 2010-12-15 |
| CA | RA | APPROVED | 2010-12-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Sioux Falls | SD | 12/2010 | Present |
I*3550271Entity Type: N/AName of OBA: K A A Trust, acting as Co TrusteeAddress: Sioux Falls, South Dakota, 57110Investment Related: NoPosition, Title, Association: Co-TrusteeEmployee Start Date: 01/26/2026Number of Hours: 5, YearlyNumber of Hours during trading: 0, YearlyDuties: Spouse I*3610272 Entity Type: N/A Name of OBA: K A A TTEE WENDY S ASPAAS TTEE U/A DTD 11/15/2022 Address: Sioux Falls, South Dakota, 57110 Investment Related: No Position, Title, Association: Co-Trustee Employee Start Date: 01/22/2026 Number of Hours: 5, Yearly Number of Hours during trading: 0, Yearly Duties: Spouse I*3610274 Entity Type: N/A Name of OBA: K A A TTEE WENDY S ASPAAS TTEE U/A DTD 11/15/2022 Address: Sioux Falls, South Dakota, 57110 Investment Related: No Position, Title, Association: Co-Trustee Employee Start Date: 01/22/2026 Number of Hours: 5, Yearly Number of Hours during trading: 0, Yearly Duties: Spouse
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-11-02 |
| S63 | Uniform Securities Agent State Law Examination | 1993-12-08 |
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