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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 2025-06-30
IN RA APPROVED 2025-06-17
  • TX RA
    APPROVED
    Since 2025-06-30
  • IN RA
    APPROVED
    Since 2025-06-17

Branch Locations

510 E 96Th St, Indianapolis, IN 46240 • 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
Ameriprise Financial Services, Llc Indianapolis IN 07/2023 05/2025
Column Capital Noblesville IN 05/2022 08/2022
Maverick Advantage Noblesville IN 05/2019 Present
Fox Prairie Golf Course Noblesville IN 05/2020 08/2020
Unemployed Noblesville IN 08/2013 05/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated Indianapolis IN 05/2025 Present
Indiana University Bloomington IN 08/2019 05/2023
Bank Of America, N.A. Indianapolis IN 08/2025 Present
  • 07/2023 → 05/2025
    Indianapolis, IN
  • 05/2022 → 08/2022
    Column Capital
    Noblesville, IN
  • 05/2019 → Present
    Maverick Advantage
    Noblesville, IN
  • 05/2020 → 08/2020
    Fox Prairie Golf Course
    Noblesville, IN
  • 08/2013 → 05/2019
    Unemployed
    Noblesville, IN
  • 05/2025 → Present
    Indianapolis, IN
  • 08/2019 → 05/2023
    Indiana University
    Bloomington, IN
  • 08/2025 → Present
    Bank Of America, N.A.
    Indianapolis, IN
Previous Registrations
Other Businesses

I*: 2521294 Entity Type: For Profit Name: Maverick Advantage Investment-related: No Address: Noblesville, IN 46060 Your position: Employee Start date of your relationship: 05/01/2019 Approximate number of hours/month you devote to the other business: 15 hrs mthly Number of hours you devote to the other business during securities trading hours: 0 Duties: Maverick Advantage makes and sells accessory parts for recreational vehicles. Maverick advantage also supplies marketing products for recreational vehicle dealerships. I work on a part time and in frequent basis as a laborer in their warehouse.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-11-15
  • S66 Uniform Combined State Law Examination
    2023-11-15
Other Names
  • Samuel C Wertz
  • Sam Charles Wertz
  • Samuel Wertz

View on SEC IAPD

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