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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 2019-07-08
IN RA APPROVED 2002-09-06
  • TX RA
    APPROVED_RES
    Since 2019-07-08
  • IN RA
    APPROVED
    Since 2002-09-06

Branch Locations

510 E 96Th St, Indianapolis, IN 46240 • 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 Indianapolis IN 09/2006 Present
Bank Of America, Na Indianapolis IN 12/2009 Present
Previous Registrations
Other Businesses

I*25447 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: DKS MARKETING INVESTMENT RELATED: N ADDRESS OF BUSINESS: LOGANSPORT, INDIANA 46947 NATURE OF BUSINESS: LLC,LLC POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 1/1/1975 NUMBER OF HOURS DEVOTED: 16 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: OWNER-MAINTAIN HISTORICAL RECORDS/MAINTAIN ACTIVE AGRICULTURAL STATUS OF PROPERTY. FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: MARINE FOUNDATION OF INDIANA, INC. INVESTMENT RELATED: N ADDRESS OF BUSINESS: INDIANAPOLIS, INDIANA 46219 POSITION, TITLE, ASSOCIATION: TRUSTEE, START DATE OF RELATIONSHIP: 1/2/2012 NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: RAISE FUNDS FOR WOUNDED WARRIORS AND THEIR FAMILIES PLUS PROVIDE SCHOLORSHIPS FOR SURVIVING CHILDREN OF KIA MARINES. I*126741 For profit or not for profit: For-Profit Organization Name of outside business organization: Agenda Corp Investment related: N Address of business: Indianapolis, Indiana 46280 Nature of business: LLC, Position, title, association: Owner, Start date of relationship: 3/12/2008 Number of hours devoted: 12 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: This business exists within DKS Marketing and was set up to handle the Bull and Bear Ranch, an agricultural property, which leases land to a local farmer.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-08-03
S63 Uniform Securities Agent State Law Examination 1983-11-29
  • S65 Uniform Investment Adviser Law Examination
    1992-08-03
  • S63 Uniform Securities Agent State Law Examination
    1983-11-29
Other Names
  • Don K Shuck

View on SEC IAPD

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