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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 2019-01-31
MI RA APPROVED 2010-05-04
IL RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2019-01-31
  • MI RA
    APPROVED
    Since 2010-05-04
  • IL RA
    APPROVED
    Since 2009-10-23

Branch Locations

8121 Trillium Circle Ave, Grand Blanc, MI 48439 • 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 Flint MI 10/2009 Present
Bank Of America,N.A. Grand Blanc MI 06/2011 Present
Previous Registrations
  • 2008-10-24 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Flint, MI
  • 2006-11-13 → 2008-10-24
    Lasalle Financial Services, Inc.
    Flint, MI
    Burton, MI
    Flint, MI
    Chicago, IL
    Burton, MI
    Clio, MI
    Fenton, MI
    Flint, MI
    Flint, MI
    Flint, MI
    Flint, MI
    Flint, MI
    Grand Blanc, MI
    Chicago, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-09-19
S63 Uniform Securities Agent State Law Examination 1990-04-02
  • S65 Uniform Investment Adviser Law Examination
    2001-09-19
  • S63 Uniform Securities Agent State Law Examination
    1990-04-02
Other Names
  • Deborah Lynn Thorne

View on SEC IAPD

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