Richard William Groendyke

Current Employers

Employment History

• 03/1995 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Oak Brook, IL

Other Businesses

I*477461, Entity Type: Entity SRO, Name of OBA: NYSE Hearing Board, Address: Washington DC, District of Columbia, 20006, Investment Related: N, Position, Title, Association: Committee, Board Member, Employee State Date: 03/08/1996, No Hours: 0 Yearly, No Hours during Trading: 0 Yearly, Duties: Member of Advisory Board I*477462 Entity Type: Entity SRO Name of OBA: NYSE Acceptability Board Member Address: Washington DC, District of Columbia, 20006 Investment Related: No Position, Title, Association: Committee,Board Member Employee Start Date: 04/17/2014 Number of Hours: 0, Yearly Number of Hours during trading: 0, Yearly Duties: Acceptability Committees are composed of at least three persons who are members of the Acceptability Board. Acceptability Committee considers applications prior to disapproval by the Exchange. Acceptability Board are also members of the Hearing Board. Given the overlap in the composition of the Acceptability Board and the Hearing Board, and the fact that the Acceptability Board is appointed for no other purpose than providing a ready pool for staffing Acceptability Committees. The Board is composed of registered employees and non-registered employees of members and is a disciplinary review body within the New York Stock Exchange. Its duties include member review, conduct review, disciplinary recommendations and other recommendations brought before it.

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-07-14
• S63 Uniform Securities Agent State Law Examination
  1992-01-08