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William Jon Grombala

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Traverse City, MI

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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 2010-11-04
TX RA APPROVED_RES 2006-02-08
  • MI RA
    APPROVED
    Since 2010-11-04
  • TX RA
    APPROVED_RES
    Since 2006-02-08

Branch Locations

333 W Grandview Pkwy, Traverse City, MI 49684 • 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 Traverse City MI 11/1997 Present
Bank Of America, N.A. Traverse City MI 12/2009 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-10-28
S63 Uniform Securities Agent State Law Examination 1984-01-25
  • S66 Uniform Combined State Law Examination
    2010-10-28
  • S63 Uniform Securities Agent State Law Examination
    1984-01-25
Other Names
  • William Jon Grombala
  • William Jon Grombala

View on SEC IAPD

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Other Offices

STIFEL, NICOLAUS & COMPANY, INCORPORATED · TRAVERSE CITY, MI
UP NORTH FINANCIAL, LLC · TRAVERSE CITY, MI
CHARLES SCHWAB & CO., INC. · Traverse City, MI
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G. A. REPPLE & COMPANY · Traverse City, MI
INDEPENDENT WEALTH MANAGEMENT, LLC · TRAVERSE CITY, MI
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