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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_RES 2010-08-25
IL RA APPROVED 1998-04-12
  • TX RA
    APPROVED_RES
    Since 2010-08-25
  • IL RA
    APPROVED
    Since 1998-04-12

Branch Locations

230 Sw Adams St, Peoria, IL 61602 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Peoria IL 10/1978 Present
Bank Of America, N.A. Peoria IL 12/2009 Present
Other Businesses

I*111495 For profit or not for profit: For-Profit Organization Name of outside business organization: Granite Massif LLC Investment related: Y Address of business: Chicago, Illinois 60611 Nature of business: LLC, Position, title, association: Limited Partner, Start date of relationship: 1/15/2018 Number of hours devoted: 0 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Condo for investment with family primarily. No responsibilities or tasks required or asked of me I*1779276 Entity Type: N/A Name of OBA: Rental Property 1 Address:Fort Meyers Beach, FL Investment Related:No Position, Title, Association:Sole owner Start Date:03/18/2022 No Hours: 0 Yearly No Hours during trading:0 Duties:N/A I*1789279 , Entity Type, For Profit Name of OBA:KMD Florida Properties LLC Address: Fort Meyers Beach,FL,33931 Investment Related:NO Position, Title, Association: Owner Employee Start Date: 03/18/2022 No Hours:0 YEARLY No Hours during trading:0 Duties:Karen & Mike Leali stay there a few weeks a year and the building rents out the unit when we are not there and takes approx. 40% of the rental income. No responsibilities.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-01-18
S63 Uniform Securities Agent State Law Examination 1981-06-10
  • S65 Uniform Investment Adviser Law Examination
    1995-01-18
  • S63 Uniform Securities Agent State Law Examination
    1981-06-10

View on SEC IAPD

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