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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TN | RA | APPROVED | 2023-07-17 |
| TX | RA | APPROVED_RES | 2015-10-12 |
| IL | RA | APPROVED | 1998-04-12 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Peoria | IL | 08/1994 | Present |
| Bank Of America,Na | Bloomington | IL | 12/2009 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-12-02 |
| S63 | Uniform Securities Agent State Law Examination | 1994-11-18 |
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