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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 2024-06-18
IL RA APPROVED 2024-04-02
  • TX RA
    APPROVED
    Since 2024-06-18
  • IL RA
    APPROVED
    Since 2024-04-02

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 Mount Prospect IL 12/2023 Present
Elmhurst Memorial Hospital Elmhurst IL 02/2020 03/2022
Ecolab St. Paul MN 05/2022 07/2022
Andy Frain Services Rosemont IL 03/2023 01/2025
College Of Dupage Glen Ellyn IL 08/2018 05/2020
Elmhurst University Elmhurst IL 08/2020 12/2022
Unemployed/School Elmhurst IL 01/2014 07/2018
Redstone American Grill Oakbrook Terrace IL 09/2023 11/2023
Bank Of America N.A. Mount Prospect IL 02/2024 Present
  • 12/2023 → Present
    Mount Prospect, IL
  • 02/2020 → 03/2022
    Elmhurst Memorial Hospital
    Elmhurst, IL
  • 05/2022 → 07/2022
    Ecolab
    St. Paul, MN
  • 03/2023 → 01/2025
    Andy Frain Services
    Rosemont, IL
  • 08/2018 → 05/2020
    College Of Dupage
    Glen Ellyn, IL
  • 08/2020 → 12/2022
    Elmhurst University
    Elmhurst, IL
  • 01/2014 → 07/2018
    Unemployed/School
    Elmhurst, IL
  • 09/2023 → 11/2023
    Redstone American Grill
    Oakbrook Terrace, IL
  • 02/2024 → Present
    Bank Of America N.A.
    Mount Prospect, IL
Other Businesses

Name of the other business: Andy Frain Services Whether the business is investment-related: No Address of the other business :Rosemont, IL 60018Nature of the other business: Event Staff/Customer Service Your position: Event Staff Title, or relationship with the other business :Registry Employee Start date of your relationship: 03/16/2023Approximate number of hours/month you devote to the other business :30 hours per month Number of hours you devote to the other business during securities trading hours :0 only on weekends Briefly describe your duties relating to the other business: Assist people to their designated seats in Arenas/Theater or check/scan tickets at entrance A Template I*1644303, Name of OBA: Andy Frain Services Inc Address: Rosemont Illinois Investment Related: No Position, Title, Association: Employee Start Date: 03/14/2023 No Hours 5 weekly: No Hours during trading: 0 Duties: Event staff for Allstate Arena and Rosemont Theater. A registry weekend job to see events

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-04-01
  • S66 Uniform Combined State Law Examination
    2024-04-01

View on SEC IAPD

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