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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2016-12-16
  • MO RA
    APPROVED
    Since 2016-12-16

Branch Locations

7676 Forsyth Blvd, Clayton, MO 63105 • United States

1 Cowboys Way, Frisco, TX 75034 • 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 Saint Lousi MO 07/2016 Present
Bank Of America, N.A. Saint Louis MO 08/2016 Present
Other Businesses

Entity Name: Character Plus Investment related: Yes Address: St. Louis, MO 63146 Nature of the other business: The non-profit organization focuses on helping educators and students achieve academic success through character development inside and outside the classroom. Position/Title/Relationship: Director Start Date: 2/2/15Approximate # of hours a month: 1 hour qtrly Approximate # of hours during securities hours: 1 hr qtrly Briefly describe your duties: Executive Advisory Board member and I participate on the Finance Committee Entity Name: Saint Louis Development Corporation Investment related: No Address: St. Louis, Missouri 63103Nature of the other business: N/A Position/Title/Relationship: Board Member for LCRA, PIEA and EEZ; all three are economic development boards run by SLDC on behalf of the City of St. Louis. Start Date: 29-Jul-2014Approximate # of hours a month: Two years Hours during trading: 1 hour mthly Briefly describe your duties: Attend board meetings and vote on various matters aimed at increasing economic development in the City of St. Louis. I*124627 For profit or not for profit: Non-Profit Name of outside business organization: Webster University Investment related: No Address of business: Webster Groves, Missouri 63119Charitable Organization, Trustee, 9/19/2019Number of hours devoted: 4 hours Qtrly Number of hours devoted during trading hours: 2 I've been asked to serve on the Board of Trustees.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-12-15
S63 Uniform Securities Agent State Law Examination 1999-12-28
  • S65 Uniform Investment Adviser Law Examination
    2016-12-15
  • S63 Uniform Securities Agent State Law Examination
    1999-12-28
Other Names
  • Marvin Darryl Anderson
  • Marvin D Anderson

View on SEC IAPD

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