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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 2010-10-13
TX RA APPROVED_RES 1990-03-22
  • MI RA
    APPROVED
    Since 2010-10-13
  • TX RA
    APPROVED_RES
    Since 1990-03-22

Branch Locations

39577 Woodward Ave Pbig - Troy, Bloomfield Hills, MI 48304 • 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 Detroit MI 07/1979 Present
Bank Of America, N.A. Troy MI 12/2009 Present
Other Businesses

I*575242 For Profit Name of outside business organization: MKG Ventures LLC Investment related: N Address of business: Bloomfield Hills, MI, 48304 Nature of business: ["Limited Liability Company"] Position, title, association: ["General Partner/Managing Member"], Start date of relationship: 11/12/2021 hours devoted: 2 hour(s) Yearly hours devoted during trading hours: 0 Duties: , Purpose of the entity is to facilitate a joint outside investment for the Financial Advisors who are the partners of MKG & Associates, our Private Wealth Management team at ML. I will be the managing partner of the entity and will be one of 2 members authorized to transact business on behalf of the entity. I*575244 For Profit Name: SMIG LLC Investment related: N Address of business: Clinton Township, Michigan, 48035 Nature of business: ["Limited Liability Company"] Position, title, association: ["Other"], Start date of relationship: 11/12/2021 hours devoted: 0 hour(s) Yearly hours devoted during trading hours: 0 Duties: Passive investor in entity and their underlying investments, Entity was created for the purpose of making specific outside investments that are not securities related. Real estate and franchise opportunities primarily are going to be the focus. I*23471 For-Profit Organization Name: Manresa Jesuit Retreat House Investment related: N Address of business:Bloomfield Hills, MI 48304 Nature of business: Other,Jesuit retreat house Position, title, association: Advisory Board Member, Start date of relationship: hours devoted: 20 hour(s) Annually hours devoted during trading hours: 0 Duties: Non Profit Board of Directors on the Investment Committee I*77938 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: A& M INDUSTRIES INVESTMENT RELATED: N ADDRESS OF BUSINESS: CLINTON TWP, MICHIGAN 48035 NATURE OF BUSINESS: LIMITED PARTNERSHIP, POSITION, TITLE, ASSOCIATION: LIMITED PARTNER, START DATE OF RELATIONSHIP: 1/1/2015 NUMBER OF HOURS DEVOTED: 50 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: PRESIDENT OF ENTITY I*97984 For profit or not for profit: Non-Profit Organization Name of outside business organization: The Catholic Foundation of Michigan Investment related: N Address of business: Columus, Ohio 43215 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 9/30/2016 Number of hours devoted: 15 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: The Catholic Foundation of Michigan inspires charitable giving that will provide permanent funding to meet the long term needs of the parishes, schools, ministries and other Catholic organizations of southeast Michigan. I*126210 For profit or not for profit: For-Profit Organization Name of outside business organization: A & M Real Estate LLC Investment related: Y Clinton Twp, Michigan 48035 Nature of business: LLC, Position, title, association: General Partner, Start date of relationship: 8/13/2019 Number of hours devoted: 0 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: This is a name change. The original name was A&M Limited LLC but it was just changed to A&M Real Estate LLC. Recently A&M Real estate invested in F45 fitness franchise I* 1364262 For profit or not for profit: Name of outside business organization: Housey Pharmaceutical Investment related: no Address of business: Soutfield, MI Nature of business: Limited Liability Company Position, title, association: Director Start date of relationship: 07/10/2023 Number of hours devoted: 2 monthly Number of hours devoted during trading hours: 0 Duties: Housey Pharmaceutical is an organization involved with research and development for potential treatments of cancer. I have been asked to serve as a member of the board. This will be a general board position. Compensation is expected to be included as part of this board position.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-01-05
S63 Uniform Securities Agent State Law Examination 1979-11-01
  • S65 Uniform Investment Adviser Law Examination
    1994-01-05
  • S63 Uniform Securities Agent State Law Examination
    1979-11-01
Designations

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