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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
OK RA APPROVED 2008-12-03
TX RA APPROVED_RES 2008-11-25
IL RA APPROVED 2008-11-21
  • OK RA
    APPROVED
    Since 2008-12-03
  • TX RA
    APPROVED_RES
    Since 2008-11-25
  • IL RA
    APPROVED
    Since 2008-11-21

Branch Locations

336 S 36Th St, Quincy, IL 62301 • 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 : 7691 Quincy IL 11/2008 Present
Bank Of America,Na Quincy IL 11/2009 Present
  • 11/2008 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
    Quincy, IL
  • 11/2009 → Present
    Bank Of America,Na
    Quincy, IL
Previous Registrations
Other Businesses

I*127279 For profit or not for profit: For-Profit Name of outside business organization: farm Investment related: No Address of business: Quincy, Illinois 62305 Nature of business: Sole Proprietorship Position, title, association: Owner, Start date of relationship: 12/2/2019 Number of hours devoted: 5 hrsAnnually Number of hours devoted during trading hours: 0 Duties: I am buying a farm and will have someone farm it for me I*133668 For profit or not for profit: For-Profit Name of outside business organization: Farm addition Investment related: Yes Address of business: Quincy, Illinois 62305 Position, title, association: Other, owner Start date of relationship: 11/18/2020 Number of hours devoted: 2 hrs Annually Number of hours devoted during trading hours: 0 Duties: Currently I have approval to own and cash rent a farm. we grow grain crops nothing exotic. I cash rent and do no physical work. A small partial of ground adjoining my approved farm is for sale and I want to buy it and increase the size of my farm I*4393268 Entity Type: Fiduciary role Name of OBA: M. B. TTEE C. B. TTEE U/A DTD 12/19/2018 Address: Quincy, Illinois, 62305 Investment Related: No Position, Title, Association: Co-Trustee Employee Start Date: 04/14/2026 Number of Hours: 1, Yearly Number of Hours during trading: 0 Duties: Co-Trustee/Self, Spouse

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-09-20
S63 Uniform Securities Agent State Law Examination 1984-05-31
  • S65 Uniform Investment Adviser Law Examination
    1996-09-20
  • S63 Uniform Securities Agent State Law Examination
    1984-05-31

View on SEC IAPD

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