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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_RES 2007-07-10
IL RA APPROVED 1998-04-12
  • TX RA
    APPROVED_RES
    Since 2007-07-10
  • IL RA
    APPROVED
    Since 1998-04-12

Branch Locations

21805 W Field Pkwy, Deer Park, IL 60010 • 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 Northbrook IL 09/1993 Present
Bank Of America, N.A. Crystal Lake IL 05/2011 Present
Other Businesses

I*483529Entity Type: Fiduciary role Name of OBA: POA for A. R. Address: Hawthorn Woods, Illinois, 60047Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 10/03/2009Number of Hours: 0Number of Hours during trading: 0 Duties: Power of Attorney/Spouse I*900236Entity Type: Fiduciary role Name of OBA: A. R. Executor Address: Hawthorn Woods, Illinois, 60047Investment Related: No Position, Title, Association: Executor Employee Start Date: 06/14/2018Number of Hours: 0Number of Hours during trading: 0 Duties: Executor/Spouse I*900237Entity Type: Fiduciary role Name of OBA: A. R. Trust Address: Hawthorn Woods, Illinois, 60047Investment Related: No Position, Title, Association: Successor Trustee Employee Start Date: 06/14/2018Number of Hours: 0Number of Hours during trading: 0 Duties: Successor Trustee/Spouse I*965581Entity Type: Fiduciary role Name of OBA: M. R. & R. R. Joint Revocable Trust - Successor Trustee Address: Mukwanago, Wisconsin, 53149Investment Related: No Position, Title, Association: Successor Trustee Employee Start Date: 08/26/2022Number of Hours: 0 Number of Hours during trading: 0 Duties: Successor Trustee/In-Laws I*901243Entity Type: Fiduciary role Name of OBA: C. R. POA Address: Hawthorn Woods, Illinois, 60047 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 11/03/2021Number of Hours: 0 Number of Hours during trading: 0 Duties: Power of Attorney/Child/Grandchild I*901244Entity Type: Fiduciary role Name of OBA: M. G. POA Address: Arlington Heights, Illinois, 60004Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 01/11/2022Number of Hours: 0Number of Hours during trading: 0 Duties: Power of Attorney/Siblings I*1889267 Entity Type: Fiduciary role Name of OBA: A. R. POA Address: Hawthorn Woods, Illinois, 60047Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 06/20/2024Number of Hours: 0Number of Hours during trading: 0 Duties: Power of Attorney/Spouse I*2472267 Entity Type: Fiduciary role Name of OBA: C. R. Power of Attorney Address: Hawthorn Woods, Illinois, 60047Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 05/14/2025Number of Hours: 0Number of Hours during trading: 0 Duties: Power of Attorney/ Child/Grandchild

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-11-23
S63 Uniform Securities Agent State Law Examination 1993-11-23
  • S65 Uniform Investment Adviser Law Examination
    1994-11-23
  • S63 Uniform Securities Agent State Law Examination
    1993-11-23

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