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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2020-12-16
OH RA APPROVED 1999-08-19
  • FL RA
    APPROVED
    Since 2020-12-16
  • OH RA
    APPROVED
    Since 1999-08-19

Branch Locations

159 Crocker Park Blvd, Westlake, OH 44145 • United States

One Bryant Park, New York, NY 10036 • UNITED STATES

Dunedin, FL • 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 Cleveland OH 03/1978 Present
Bank Of America, N.A Cleveland OH 01/2013 Present
Other Businesses

I*59598 For profit or not for profit: For-Profit Organization Name of outside business organization: Brooke Co. mineral rights Investment related: N Address of business: brooke county, West Virginia n/a Nature of business: Family Business, Position, title, association: Owner, Start date of relationship: 1/1/2012 Number of hours devoted: 1 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: family owned mineral rights on property I*112001 For profit or not for profit: For-Profit Organization Name of outside business organization: EQT Production Investment related: N Address of business: Bridgeport, West Virginia 26330 Nature of business: Corporation, Position, title, association: Participant, Start date of relationship: 43133 Number of hours devoted: 0 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: assigned mineral drilling rights to company, my responsibility none I*470301 For profit or not for profit: Name of outside business organization: Elyria Community Improvement Corporation Investment related: N Address of business: ELYRIA, Ohio, 44035, United States Nature of business: ["Development Corporation"] Position, title, association: ["Board Member"], Start date of relationship: 5/18/2023 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 1 Duties: , advance,encourage,promote developement in Elyria quarterly meetings to approve disbursements

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-22
S63 Uniform Securities Agent State Law Examination 1981-05-28
  • S65 Uniform Investment Adviser Law Examination
    1999-12-22
  • S63 Uniform Securities Agent State Law Examination
    1981-05-28
Other Names
  • Dan Allan Bragg

View on SEC IAPD

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