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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 2009-01-07
IL RA APPROVED 2004-12-03
  • TX RA
    APPROVED_RES
    Since 2009-01-07
  • IL RA
    APPROVED
    Since 2004-12-03

Branch Locations

2021 Spring Rd, Oak Brook, IL 60523 • United States

Franklin Park, IL • 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 Northbrook IL 09/1993 Present
Other Businesses

I*1922352 Entity For Profit Name of OBA: Roosevelt at Salt Creek Retirement Community Address: Elmhurst, Illinois, 60126 Investment Related: Other Position, Title, Association: Employee Start Date: 08/24/2024 No Hours: 1 No Hours during trading: 0 Duties: Zumba Chair Instructor

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-12-02
S63 Uniform Securities Agent State Law Examination 1996-02-22
  • S66 Uniform Combined State Law Examination
    2004-12-02
  • S63 Uniform Securities Agent State Law Examination
    1996-02-22

View on SEC IAPD

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