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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2022-01-06
IN RA APPROVED 2006-09-29
TX RA APPROVED_RES 2006-09-29
  • FL RA
    APPROVED
    Since 2022-01-06
  • IN RA
    APPROVED
    Since 2006-09-29
  • TX RA
    APPROVED_RES
    Since 2006-09-29

Branch Locations

Sanibel, FL • United States

510 E 96Th St Pbig - Indiana, 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,N.A. Indianapolis IN 06/2011 Present
Previous Registrations
  • 1999-01-20 → 2006-10-02
    Keybanc Capital Markets Inc.
    Indianapolis, IN
    Indianapolis, IN
    Cicero, IN
    Franklin, IN
    Indianapolis, IN
    Fishers, IN
    Lebanon, IN
    Greenwood, IN
    Carmel, IN
    Indianapolis, IN
    Fishers, IN
    Kokomo, IN
    Anderson, IN
    Noblesville, IN
Other Businesses

I*43191FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: MPG AVIATION LLCINVESTMENT RELATED: NADDRESS OF BUSINESS: CARMEL, INDIANA 46032NATURE OF BUSINESS: LLC,POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 9/1/2010NUMBER OF HOURS DEVOTED: 12 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: FOR ESTATE PLANNING PURPOSES, ENTITY IS USED TO CHARTER PRIVATE AIRPLANE SERVICES I*36872For profit or not for profit: For-Profit OrganizationName of outside business organization: Gregor Property Management, LLC.Investment related: NAddress of business:Carmel, Indiana 46032Nature of business: LLC,Position, title, association: Other, managerStart date of relationship: 3/1/2010Number of hours devoted: 1 hour(s) QuarterlyNumber of hours devoted during trading hours: 0Duties: Entity owned 100% by my wife to hold personal property. I*1143303 Entity Type: Name of OBA: Gulfside Place Condo Association Address: Sanibel, Florida, 33957 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 01/31/2023 Number of Hours: 1, Monthly Number of Hours during trading: 0, Monthly

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-03-03
S63 Uniform Securities Agent State Law Examination 1985-08-30
  • S65 Uniform Investment Adviser Law Examination
    1995-03-03
  • S63 Uniform Securities Agent State Law Examination
    1985-08-30
Other Names
  • Martin Gregor

View on SEC IAPD

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