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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 2024-01-03
IN RA APPROVED 1998-12-15
  • TX RA
    APPROVED_RES
    Since 2024-01-03
  • IN RA
    APPROVED
    Since 1998-12-15

Branch Locations

100 N Michigan St, South Bend, IN 46601 • 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 South Bend IN 10/1993 Present
Bank Of America, N.A. South Bend IN 01/2014 Present
Other Businesses

I*1048522For profit or not for profit: Name of outside business organization: Awesome FundInvestment related: NAddress 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: Non Profit organizations that grants funds to local entrepreneurs I*: 341921Entity Type: Entity CharitableName of OBA: South Bend Civic TheaterAddress: South Bend, IN 46601Investment Related: NoPosition, Title, Association: Board MemberEmployee Start Date: 01/01/2025Number of Hours: 2 hrs mthlyNumber of Hours during trading: 0 Duties: Director/Board Member Civic Theater I*2771279Entity Type: GovernmentalName of OBA: Civic Center BoardAddress:South Bend IndianaInvestment Related:NoPosition, Title, Association:Board MemberStart Date:08/25/2025No Hours: 6 MonthlyNo Hours during trading:0 MonthlyDuties:The Civic Center Board oversees the following assets owned by the City of South Bend. Century Center which is a convention center. The Morris which a theatre and the Palais which is a facility for events like weddings.Meetings are four times a year. They involve general guidance to city staff the run facilities. The board provides guidance on the annual budget, management contract of Century Center, utilization of facilities. The board functions in an advisory capacity, most items are then forwarded to city for governmental approval.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1995-12-06
S65 Uniform Investment Adviser Law Examination 1995-12-06
  • S63 Uniform Securities Agent State Law Examination
    1995-12-06
  • S65 Uniform Investment Adviser Law Examination
    1995-12-06
Other Names
  • Matthew M Kahn
  • Matt Kahn

View on SEC IAPD

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