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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2021-02-25
TX RA APPROVED 2021-02-25
  • IL RA
    APPROVED
    Since 2021-02-25
  • TX RA
    APPROVED
    Since 2021-02-25

Branch Locations

21805 W Field Pkwy, Deer Park, IL 60010 • 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 Deer Park IL 09/2016 Present
Menards Inc. Chicago IL 05/2009 Present
Bank Of America, N.A. Deer Park IL 08/2025 Present
Other Businesses

I*453693 For profit or not for profit: Entity For Profit Name of outside business organization: T.A.R. Restoration Inc. Investment related: N Address of business: Chicago, Illinois, 60634 Nature of business: ["Corporation"] Position, title, association: ["Other"], Start date of relationship: 5/8/2017 Number of hours devoted: 25 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Part-Time, T.A.R. Restoration is a roofing company. I will be meeting with clients and perform inspections of their roofs. It will include taking measurements and noting any damages on clients' roofs. I*1111253, Entity Type: Fiduciary, Name of OBA: J M, Address: Elk Grove Villate, Illinois, 60007, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 12-Dec-2022, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties: I*1112247, Entity Type: Fiduciary, Name of OBA: MRS D A M AND W M JTWROS , Address: Elk Grove Village, Illinois, 60007, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 12-Dec-2022, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-02-04
S63 Uniform Securities Agent State Law Examination 2016-12-23
  • S66 Uniform Combined State Law Examination
    2021-02-04
  • S63 Uniform Securities Agent State Law Examination
    2016-12-23
Other Names
  • Rafal M. Mosior

View on SEC IAPD

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