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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2021-07-29
TX RA APPROVED 2021-06-30
IL RA APPROVED 2021-06-17
  • WI RA
    APPROVED
    Since 2021-07-29
  • TX RA
    APPROVED
    Since 2021-06-30
  • IL RA
    APPROVED
    Since 2021-06-17

Branch Locations

110 N Wacker Dr Pbig - Chicago, Chicago, IL 60606 • 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 Chicago IL 01/2006 09/2019
Bank Of America, N.A. Chicago IL 05/2015 09/2019
Morgan Stanley Chicago IL 04/2020 06/2021
Job-Site Safety Ltd Brookfield IL 09/2019 04/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated Chicago IL 06/2021 Present
Bank Of America, N.A. Chicago IL 10/2021 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-07-30
  • S66 Uniform Combined State Law Examination
    2008-07-30
Other Names
  • Benjamin Helge Holmgren

View on SEC IAPD

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