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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 2012-08-15
MI RA APPROVED 2010-10-20
  • TX RA
    APPROVED_RES
    Since 2012-08-15
  • MI RA
    APPROVED
    Since 2010-10-20

Branch Locations

39001 W 12 Mile Rd, Farmington Hills, MI 48331 • United States

Disclosures

2 disclosure categories 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 Yes
  • 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 : 7691 Farmington Hills MI 05/2006 Present
Bank Of America N.A Novi MI 04/2012 Present
  • 05/2006 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
    Farmington Hills, MI
  • 04/2012 → Present
    Bank Of America N.A
    Novi, MI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-10-01
S63 Uniform Securities Agent State Law Examination 1994-07-19
  • S65 Uniform Investment Adviser Law Examination
    2010-10-01
  • S63 Uniform Securities Agent State Law Examination
    1994-07-19

View on SEC IAPD

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