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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2021-11-04
TX RA APPROVED_RES 2000-02-17
IL RA APPROVED 1998-04-12
  • WI RA
    APPROVED
    Since 2021-11-04
  • TX RA
    APPROVED_RES
    Since 2000-02-17
  • IL RA
    APPROVED
    Since 1998-04-12

Branch Locations

833 E Michigan St, Milwaukee, WI 53202 • 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 Naperville IL 09/1983 Present
Bank Of America, N.A. Lisle IL 06/2011 Present
Other Businesses

I*1060310 Entity Type: Charitable Name of outside business organization: Archdiocese of Milwaukee Investment related: No Address of business: Whitefish Bay, Wisconsin, 53217 Position, title, association: Other, Start date of relationship: 11/3/2022 Number of hours devoted: 3 hrs Wkly Number of hours devoted during trading hours: 1 hr wkly Duties: Deacon, Ordained Minister of the Church, Deacon. Preside at masses, perform sacraments, engage in various ministries. For some duties I do receive minor compensation, less than $5000 annually. I*3103300 Entity Type: Charitable Name of OBA: Milwaukee Cursillo Address: Plymouth, Wisconsin 53073 Investment Related: No Position, Title, Association: Committee Employee Start Date: 10/29/2025 Number of Hours: 5, Monthly Number of Hours during trading: 0 Duties: Cursillo is a full-immersion, spiritually life-changing experience to be lived over the course of three days alongside fellow Catholics who desire to reignite and transform their faith. Organize and run leadership activities in support of the regularly scheduled three day retreat weekends. I*3534265 Entity Type: Fiduciary role Name of OBA: J. L L. IRA Address: Glendale, Wisconsin, 53217 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 01/14/2026 Number of Hours: 1, Monthly Number of Hours during trading: 1, Monthly Duties: Power of Attorney/Spouse

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-03-22
S63 Uniform Securities Agent State Law Examination 1987-07-31
  • S65 Uniform Investment Adviser Law Examination
    1995-03-22
  • S63 Uniform Securities Agent State Law Examination
    1987-07-31
Other Names
  • Robert Dennis Larkin

View on SEC IAPD

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