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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2005-01-31
TX RA APPROVED_RES 2000-01-11
IL RA APPROVED 1998-04-12
  • IA RA
    APPROVED
    Since 2005-01-31
  • TX RA
    APPROVED_RES
    Since 2000-01-11
  • IL RA
    APPROVED
    Since 1998-04-12

Branch Locations

4550 E 53Rd St, Davenport, IA 52807 • 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 Davenport IA 07/1995 Present
Bank Of America, N.A. Davenport IA 11/2009 Present
Other Businesses

I*: 378054 Entity Type: Non-Profit Organization Name: Trinity Hospital Investment related: No Address: Rock Island, Illinois 61201 Position, title, association: Board Member Start date: 11/22/2013 Hours devoted: 15 hours Annually Hours devoted during trading hours: 15 hrs annually Duties: Advisor board to local hospital. Local nonprofit hospital I*: 2480310Entity Type: For Profit Name of OBA: Iowa Bankers Association Address: Johnston, IA 50131Investment Related: No Position, Title, Association: Board Member Employee Start Date: 11/3/2025Number of Hours: 5 hrs mthly Number of Hours during trading: 2 hrs mthly Duties: Iowa Bankers association. Would hold an at large board seat . Welcome to the Iowa Bankers Association, also known as IBA. Since 1887, the IBA has been dedicated to serving Iowa banks. As the nations largest state banking association, we provide our members with a strong voice at the state and federal levels of government. We also provide a wealth of other resources to support Iowa banks success including compliance, education, marketing, human resources, insurance and mortgage services. Take a moment to explore this site to see the many benefits membership in the IBA provides. Bank of America is a member and has been for almost 100 years. I*2578291, Entity Type: , Name of OBA: S M and H P Real Estate Trust, Address: Chicago, Illinois, 60101, Investment Related: N, Position, Title, Association: Other, Employee State Date: 06/01/2025, No Hours: 0 Weekly, No Hours during Trading: 0 Weekly, Duties: none, rental property

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1995-09-22
S65 Uniform Investment Adviser Law Examination 1995-09-22
  • S63 Uniform Securities Agent State Law Examination
    1995-09-22
  • S65 Uniform Investment Adviser Law Examination
    1995-09-22
Other Names
  • Heidi Parkhurst

View on SEC IAPD

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