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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 2017-02-13
IN RA APPROVED 2016-12-14
  • TX RA
    APPROVED
    Since 2017-02-13
  • IN RA
    APPROVED
    Since 2016-12-14

Branch Locations

250 Main St, Lafayette, IN 47901 • 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 Lafayette IN 07/2016 Present
Bank Of America, N.A. Lafayette IN 09/2021 Present
Other Businesses

I*95764 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: FAITH CHURCH INVESTMENT RELATED: N ADDRESS OF BUSINESS: LAFAYETTE, INDIANA 47901 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: PARTICIPANT, START DATE OF RELATIONSHIP: 7/12/2012 NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: I TEACH FINANCIAL PEACE UNIVERSITY AND FAITH & FINANCE. BOTH CLASSES TEACH GENERAL PERSONAL FINANCIAL MANAGEMENT. I*95763 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: HABITAT FOR HUMANITY INVESTMENT RELATED: N ADDRESS OF BUSINESS: LAFAYETTE, INDIANA 47901 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: PARTICIPANT, START DATE OF RELATIONSHIP: 7/12/2013 NUMBER OF HOURS DEVOTED: 6 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: I TEACH FINANCIAL PEACE UNIVERSITY TO ALL APPLICANT FAMILIES. I AM ALSO A FINANCIAL COACH WHICH GENERALLY ASSISTS FAMILIES WITH FORMULATING A BUDGET, PAYING DELINQUENT CREDITORS, LOWERING THEIR DEBT TO INCOME RATIO AND BUILDING A STRONG FINANCIAL BASIS. I*99181 For profit or not for profit: For-Profit Organization Name of outside business organization: CDJ Enterprises Investment related: N Address of business: Lafayette, Indiana 47905 Nature of business: LLC, Position, title, association: Limited Partner, Start date of relationship: 11/1/2004 Number of hours devoted: 0 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: This is a partnership with myself and two other individuals. We own a building at Lafayette, IN 47905 that is a strip mall that contains a business that we used to be partners in.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-12-13
S63 Uniform Securities Agent State Law Examination 2010-03-26
  • S66 Uniform Combined State Law Examination
    2016-12-13
  • S63 Uniform Securities Agent State Law Examination
    2010-03-26
Other Names
  • Diane Elizabeth Himes Imel

View on SEC IAPD

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