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Joseph Herr

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Oak Brook, IL

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2021-02-24
TX RA APPROVED 2019-06-11
IL RA APPROVED 2018-06-19
  • FL RA
    APPROVED
    Since 2021-02-24
  • TX RA
    APPROVED
    Since 2019-06-11
  • IL RA
    APPROVED
    Since 2018-06-19

Branch Locations

2021 Spring Rd, Oak Brook, IL 60523 • 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 Oak Brook IL 08/2017 Present
University Of Arizona Tucson AZ 08/2014 05/2017
Bank Of America, N.A. Oak Brook IL 07/2018 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-06-18
  • S66 Uniform Combined State Law Examination
    2018-06-18

View on SEC IAPD

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CLIFTONLARSONALLEN WEALTH ADVISORS, LLC · OAK BROOK, IL
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · OAK BROOK, IL
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Oak Brook, IL
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