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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2014-12-02
  • MN RA
    APPROVED
    Since 2014-12-02

Branch Locations

301 Tresser Blvd Office Of Cao - Awl Local Markets Organization, Stamford, CT 06901 • United States

80 S 8Th St, Minneapolis, MN 55402 • 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 Minneapolis MN 09/2014 Present
Other Businesses

I OWN AS A SOLE PROPRIETOR AN RESIDENTIAL RENTAL PROPERTY. THIS IS NOT IN THE INVESTMENT BUISINESS AND I SPEND LESS THAN ONE HOUR A MONTH MANAGING THIS BUSINESS.I*125886For profit or not for profit: Non-Profit OrganizationName of outside business organization: 2026 Prior Lake - Lakers Baseball ClubInvestment related: NAddress of business:Savage, Minnesota 55378Nature of business: Charitable Organization,Position, title, association: Director, Start date of relationship: 9/1/2019Number of hours devoted: 10 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: Fundraising and general organization of a baseball tripI*375726For profit or not for profit: Entity For ProfitName of outside business organization: The Snow Lakes Group LLCInvestment related: NAddress of business: Zimmerman, Minnesota, 55398Nature of business: ["Limited Liability Company"]Position, title, association: ["Director"], Start date of relationship: 7/1/2014Number of hours devoted: 1 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: , This is a real estate holding company for a family property I*446335 Entity Type: Entity Charitable Name of OBA: Prior Lake Athletics for Youth Address: Prior Lake, Minnesota, 55372 Investment Related: No Position, Title, Association: Director Employee Start Date: 10/15/2017 Number of Hours: 10, Monthly Number of Hours during trading: 0, Monthly Duties: To lead a youth sports program Engage in activities as directed by the board.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-12-01
  • S66 Uniform Combined State Law Examination
    2014-12-01
Other Names
  • Joel Michael Miller
  • Joel Michael Miller

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