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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 2019-08-28
MI RA APPROVED 2017-02-17
  • TX RA
    APPROVED_RES
    Since 2019-08-28
  • MI RA
    APPROVED
    Since 2017-02-17

Branch Locations

8121 Trillium Circle Ave, Grand Blanc, MI 48439 • United States

Fenton, MI • 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 Grand Blanc MI 09/2016 Present
Bank Of America, N.A. Grand Blanc MI 12/2016 Present
Other Businesses

I*584323 For profit or not for profit: Entity For Profit Name of outside business organization: Spring Meadows Country Club Investment related: N Address of business: Linden, Michigan, 48451 Nature of business: ["Private Limited Company"] Position, title, association: ["Committee"], [["Finance committee"]] Start date of relationship: 11/11/2021 Number of hours devoted: 12 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , The purpose of the finance committee at Spring Meadows Country Club is to ensure that the institution is operating in a financially sustainable manner by balancing short-term and long-term obligations and goals. In order to fulfill this purpose, the committee has certain roles and responsibilities: ?Carry out the Board of Director's fiduciary responsibility to ensure the organization's mission and purpose are fulfilled by: oGaining an understanding of how the organization is financially supported/capitalized oAssessing risks, internal and external, that may have a financial impact on the organization oMonitoring the organization's financial efficiency ?Determine what is possible given the available resources of the organization oStay involved with other committees regarding new projects and expenditures ?Assist management in executing the strategic goals of the organization by: oEstablishing guardrails for management regarding their financial decision making authority oEnsuring management has the res

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-02-15
  • S66 Uniform Combined State Law Examination
    2017-02-15
Other Names
  • Nick Steven Nawrocki
  • Nicholas Nawrocki

View on SEC IAPD

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