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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 1998-04-12
TX RA APPROVED_RES 1994-04-05
  • IL RA
    APPROVED
    Since 1998-04-12
  • TX RA
    APPROVED_RES
    Since 1994-04-05

Branch Locations

3333 Warrenville Rd, Lisle, IL 60532 • 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 Lisle IL 01/1983 Present
Bank Of America, N.A. Lisle IL 09/2009 Present
Other Businesses

I*37992 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: K. A. TRUST RENTAL PROPERTY INVESTMENT RELATED: YES ADDRESS OF BUSINESS: WHEATON, ILLINOIS 60189 POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 1/12/2011 NUMBER OF HOURS DEVOTED: 1 HOUR(ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: RECIEVING RENTAL INCOME ON FARM LAND. NO OPERATING DUTIES. I*79434 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: ST. MATTHEW UNITED CHURCH OF CHRIST INVESTMENT RELATED: No ADDRESS OF BUSINESS: WHEATON, ILLINOIS 60189 POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER START DATE OF RELATIONSHIP: 3/19/2015 NUMBER OF HOURS DEVOTED: 10 HOURS MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: I WILL BE PRESIDENT OF THE CHURCH COUNCIL AND BE INVOLVED IN DECISION MAKING OF CHURCH ACTIVITIES, MISSION, FINANCE AND PERSONNEL. I*113350 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: R. A. AND SONS LLC INVESTMENT RELATED: Yes ADDRESS OF BUSINESS: WHEATON, ILLINOIS 60189 POSITION, TITLE, ASSOCIATION: OWMER START DATE OF RELATIONSHIP: 05/01/2018 NUMBER OF HOURS DEVOTED: 10 HOURS ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: LLC ESTABLISHED TO OWN AND RECEIVE RENT FROM FARMLAND

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-11-26
S63 Uniform Securities Agent State Law Examination 1983-04-01
  • S65 Uniform Investment Adviser Law Examination
    1993-11-26
  • S63 Uniform Securities Agent State Law Examination
    1983-04-01

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