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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2006-03-23
TX RA APPROVED_RES 2003-07-10
  • IN RA
    APPROVED
    Since 2006-03-23
  • TX RA
    APPROVED_RES
    Since 2003-07-10

Branch Locations

100 N Michigan St, South Bend, IN 46601 • United States

Elkhart, IN • 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 South Bend IN 10/2000 Present
Bank Of America, N.A. South Bend IN 05/2017 Present
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1984-05-11
  • S63 Uniform Securities Agent State Law Examination
    1984-05-11

View on SEC IAPD

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