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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 2023-02-03
CO RA APPROVED 2023-01-20
  • TX RA
    APPROVED
    Since 2023-02-03
  • CO RA
    APPROVED
    Since 2023-01-20

Branch Locations

6400 S Fiddlers Green Cir, Greenwood Village, CO 80111 • United States

One Bryant Park, New York, NY 10036 • 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 Greenwood Village CO 09/2022 Present
S&P Global Denver CO 08/2015 08/2022
Bank Of America N.A. Greenwood Village CO 10/2022 Present
Other Businesses

I* 2114278, Entity Type: Entity CharitableName of OBA: Denver Lions FoundationAddress: Denver, Colorado, 80203, United StatesInvestment Related: NoPosition, Title, Association: Board MemberEmployee Start Date: 12/09/2024.No Hours: 2 hrs. monthlyNo Hours during trading: 0Duties: The Denver Lions Foundation provides financial support to Denver Lions Club activities, including Sight Conservation, Hearing Conservation, Youth Services, and Social Services. The revenue to support the four pillars comes from two primary sources: voluntary contributions by Club members and others in the community, and investment income derived from the Foundation endowment. I would serve as a trustee of the Foundation, participating in decision-making related to the Foundation, its endowment, and priorities for funding the four pillar activities and other grants. I*4506289, Entity Type: Entity Charitable, Name of OBA: Denver Lions Club, Address: Denver, Colorado, 80203, Investment Related: N, Position, Title, Association: Officer, Employee Start Date: 06/01/2026, No Hours: 1 Weekly, No Hours during Trading: 0 Weekly, Duties: Asked by current club leadership to run for 2nd Vice President, term starting June 2026. The club leadership track typically succeeds to 1st VP and President in subsequent years, i.e. 1st VP starting June 2027 and President starting June 2028. Vice Presidents organize club activities (volunteer and social events) and support the President in club board and full club meetings. The Lions Club of Denver leads programs to help people see and succeed. As an active organization, our members raise money, volunteer and direct sight- and family-focused programs. At weekly lunches, we network and learn about contemporary issues. We welcome anyone who believes in community service, friendship, and the power of connection.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-12-27
  • S66 Uniform Combined State Law Examination
    2022-12-27
Other Names
  • Andrew L Neal

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