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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2010-09-17
TX RA APPROVED_RES 1996-11-07
  • MI RA
    APPROVED
    Since 2010-09-17
  • TX RA
    APPROVED_RES
    Since 1996-11-07

Branch Locations

39577 Woodward Ave, Bloomfield Hills, MI 48304 • 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 Bloomfield Hills MI 01/1981 Present
Bank Of America, N.A. Bloomfield Hills MI 05/2011 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-04-04
S63 Uniform Securities Agent State Law Examination 1983-05-11
  • S65 Uniform Investment Adviser Law Examination
    1994-04-04
  • S63 Uniform Securities Agent State Law Examination
    1983-05-11

View on SEC IAPD

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