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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 2015-04-29
OH RA APPROVED 2014-11-14
  • TX RA
    APPROVED
    Since 2015-04-29
  • OH RA
    APPROVED
    Since 2014-11-14

Branch Locations

127 E Main Cross St, Findlay, OH 45840 • 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 Findlay OH 08/2014 Present
Bank Of America N.A. Findlay OH 10/2014 Present
Other Businesses

I*419932, For profit or not for profit: Entity Charitable, Name of outside business organization: Macklin Intergenerational Institute, Investment related: N, Address of business: Findlay, Ohio, 45840, Nature of business: ["Business or Industry Organization"]Position, title, association: ["Board Member","Officer"], Start date of relationship: 11/15/2021, Number of hours devoted: 2 hour(s) Monthly, Number of hours devoted during trading hours: 0Duties: Macklin Institute is a child day care facility. As of August 2024, I have fulfilled my duties as President of the board and will continue as a regular board member until my current board term expires in 2027. Aside from attending recurring bi-monthly board meetings (6 per year), I will no longer hold a leadership position. This is a voluntary board and there is no compensation involved with any of the responsibilities within the various roles. Additionally, the entire Board of Directors provides group oversight of the organization's mission, and of the daycare director, along with review/approval of annual budget, general financials, and other operating procedures.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-11-13
  • S66 Uniform Combined State Law Examination
    2014-11-13

View on SEC IAPD

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