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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 2014-10-14
IL RA APPROVED 2014-09-25
  • TX RA
    APPROVED
    Since 2014-10-14
  • IL RA
    APPROVED
    Since 2014-09-25

Branch Locations

10 N Martingale Rd, Schaumburg, IL 60173 • United States

Inverness, IL • 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 Schaumburg IL 06/2014 Present
Bank Of America, N.A. Schaumburg IL 10/2014 Present
Other Businesses

I* 1624271For profit or not for profit: Name of outside business organization: FOAR, LLC Investment related: no Address of business: Schaumburg, IL Nature of business: Position, title, association: Owner Start date of relationship: 01/01/2024Number of hours devoted: 0 yearly Number of hours devoted during trading hours: Duties: golf headwear - invested $5,000 - no active role

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-09-24
  • S66 Uniform Combined State Law Examination
    2014-09-24
Other Names
  • Benjamin Gottlieb

View on SEC IAPD

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