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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2024-07-03
  • IL RA
    APPROVED
    Since 2024-07-03

Branch Locations

110 N Wacker Dr, 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
Deutsche Bank Chicago IL 09/2009 12/2016
Deutsche Bank Trust Company Americas Chicago IL 09/2009 05/2021
Neuberger Berman Chicago IL 06/2021 05/2023
Deutsche Bank Chicago IL 12/2018 05/2021
Deutsche Bank Chicago IL 12/2016 12/2018
Deutsche Bank Securities Chicago IL 09/2009 05/2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated Chicago IL 06/2024 Present
Unemployed Chicago IL 05/2023 06/2024
  • 09/2009 → 12/2016
    Deutsche Bank
    Chicago, IL
  • 09/2009 → 05/2021
    Deutsche Bank Trust Company Americas
    Chicago, IL
  • 06/2021 → 05/2023
    Neuberger Berman
    Chicago, IL
  • 12/2018 → 05/2021
    Deutsche Bank
    Chicago, IL
  • 12/2016 → 12/2018
    Deutsche Bank
    Chicago, IL
  • 09/2009 → 05/2021
    Deutsche Bank Securities
    Chicago, IL
  • 06/2024 → Present
    Chicago, IL
  • 05/2023 → 06/2024
    Unemployed
    Chicago, IL
Previous Registrations
Other Businesses

I*2207300, Entity Type: Entity Charitable, Name of OBA: Kohl Children's Museum, Address: Gleview, Illinois, 60026, Investment Related: N, Position, Title, Association: Board Member, Employee State Date: 02/18/2025, No Hours: 2 Monthly, No Hours during Trading: 0 Monthly, Duties: Kohl Children's Museum is a children's museum in Glenview, Illinois that provides a hands-on learning laboratory for children ages birth to 8. The mission is expanding every child's mind through the power of play and creating learning experiences that spark imagination and curiosity

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-10-06
  • S66 Uniform Combined State Law Examination
    2008-10-06
Other Names
  • Sean J Jules

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