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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2017-07-03
TX RA APPROVED 2013-01-07
IN RA APPROVED 2011-11-21
  • OH RA
    APPROVED
    Since 2017-07-03
  • TX RA
    APPROVED
    Since 2013-01-07
  • IN RA
    APPROVED
    Since 2011-11-21

Branch Locations

5905 E Galbraith Rd, Cincinnati, OH 45236 • 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 Indianapolis IN 12/2010 Present
Bank Of America, N.A. Indianapolis IN 10/2011 Present
Other Businesses

I*: 2533310Entity Type: For ProfitName of OBA: Pacifically Properties 45040Address: Mason, OH 45040Investment Related: NoPosition, Title, Association: Director, OwnerEmployee Start Date: 05/20/2025Number of Hours: 10 hrs annuallyNumber of Hours during trading: 0Duties: Minority owner in a single rental property in Mason, OH. Will be a passive investor, not majority member or employee of new entity. I*2611261, Entity Type: , Name of OBA: R F C IRA, Address: Lebanon, Ohio, 45036, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 07/10/2025, No Hours: 0 Weekly, No Hours during Trading: 0 Weekly, Duties: I*2611262, Entity Type: , Name of OBA: R F C IRA , Address: Lebanon, Ohio, 45036, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 07/10/2025, No Hours: 0 Weekly, No Hours during Trading: 0 Weekly, Duties: I*2611264, Entity Type: , Name of OBA: R F C IRA, Address: Lebanon, Ohio, 45036, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 07/10/2025, No Hours: 0 Weekly, No Hours during Trading: 0 Weekly, Duties: I*2611265, Entity Type: , Name of OBA: R F C IRA, Address: Lebanon, Ohio, 45036, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 07/10/2025, No Hours: 0 Weekly, No Hours during Trading: 0 Weekly, Duties: I*2612266, Entity Type: , Name of OBA: R F C IRA, Address: Lebanon, Ohio, 45036, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 07/10/2025, No Hours: 0 Weekly, No Hours during Trading: 0 Weekly, Duties: I*2612267, Entity Type: , Name of OBA: E L C IRA, Address: Lebanon, Ohio, 45036, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 07/10/2025, No Hours: 0 Weekly, No Hours during Trading: 0 Weekly, Duties:I*3306265Entity Type: Entity CharitableName of OBA: Mason Youth FootballAddress: Mason, Ohio, 45040Investment Related: NoPosition, Title, Association: Board MemberEmployee Start Date: 12/17/2025Number of Hours: 5, MonthlyNumber of Hours during trading: 0, MonthlyDuties: Facilitate Youth Football in the Mason, OH area 6 board meetings per year: fundraising & organization oversight

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-11-18
  • S66 Uniform Combined State Law Examination
    2011-11-18

View on SEC IAPD

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