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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 2024-04-30
MI RA APPROVED 2023-06-12
  • TX RA
    APPROVED
    Since 2024-04-30
  • MI RA
    APPROVED
    Since 2023-06-12

Branch Locations

39577 Woodward Ave, Bloomfield Hills, MI 48304 • 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
Jpmorgan Chase Bank Na Birmingham MI 07/2017 05/2023
Jpmorgan Securities Llc Birmingham MI 07/2017 05/2023
Fca Us Llc Auburn Hills MI 04/2017 07/2017
Ziegler Capital Management, Llc Chicago IL 04/2015 03/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bloomfield Hills MI 06/2023 Present
Bank Of America, N.A. Bloomfield Hills MI 06/2023 Present
  • 07/2017 → 05/2023
    Jpmorgan Chase Bank Na
    Birmingham, MI
  • 07/2017 → 05/2023
    Jpmorgan Securities Llc
    Birmingham, MI
  • 04/2017 → 07/2017
    Fca Us Llc
    Auburn Hills, MI
  • 04/2015 → 03/2017
    Ziegler Capital Management, Llc
    Chicago, IL
  • 06/2023 → Present
    Bloomfield Hills, MI
  • 06/2023 → Present
    Bank Of America, N.A.
    Bloomfield Hills, MI
Other Businesses

I*3546265, Entity Type: Entity Charitable, Name of OBA: Catholic Foundation of Michigan, Address: Bloomfield Hills, Michigan, 48302, Investment Related: N, Position, Title, Association: ["Committee"], Employee Start Date: 01/16/2026, No Hours: 30 Yearly, No Hours during Trading: 10 Yearly, Duties: Review grant applications. With your help, the Catholic Foundation of Michigan is building the framework to support a thriving Catholic community in southeast Michigan long into the future. By inspiring faith-filled charitable giving and managing assets to provide perpetual funding to Catholic schools, parishes, and ministries, we work in partnership with generous donors to make a lasting and meaningful impact with their gifts. I*4749299, Entity Type: Entity Charitable, Name of OBA: Ronald McDonald House Detroit, Address: Detroit, Michigan, 48201, Investment Related: Y, Position, Title, Association: ["Committee"], Employee Start Date: 07/31/2026, No Hours: 12 Yearly, No Hours during Trading: 0 Yearly, Duties: Please see the attached. The role does not involve oversight of the Outside Organization¿s relationships with Bank of America. The role does not have control of, or authorization over, the Outside Organization¿s investment accounts. I will not be granted access to deposit accounts or lines of credit of the Outside Organization. At RMHC Detroit, we provide essential services that remove barriers, strengthen families and promote healing when children need healthcare. The vision of RMHC is a world where all children have access to medical care and their families are supported and actively involved in their children¿s care.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-06-08
S63 Uniform Securities Agent State Law Examination 2017-09-10
  • S65 Uniform Investment Adviser Law Examination
    2023-06-08
  • S63 Uniform Securities Agent State Law Examination
    2017-09-10
Other Names
  • Andrew Francis Lottman
  • Andrew F Lottman

View on SEC IAPD

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