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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2010-08-31
TX RA APPROVED_RES 1994-08-26
  • MI RA
    APPROVED
    Since 2010-08-31
  • TX RA
    APPROVED_RES
    Since 1994-08-26

Branch Locations

39577 Woodward Ave, Bloomfield Hills, MI 48304 • United States

Harbor Springs, 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 Bloomfield Hills MI 10/1992 Present
Bank Of America, Na Bloomfield Hills MI 12/2009 Present
Other Businesses

I*1813264, Entity Type Entity Charitable, Name of OBA: Little Traverse Yacht Club Corinthian Foundation Address: Harbor Springs, Michigan, 49740 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 05/01/2024 No Hours: 3 No Hours during trading:0 Duties: newly formed charitable foundation associated with Little Traverse Yacht Club / will be on Board of Directors I*2942290 Entity Type: Entity For Profit Name of OBA: Stigall Industrial Address: Sealy, Texas, 77474 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 11/01/2025 Number of Hours: 20, Yearly Number of Hours during trading: 0, Yearly Duties: Stigall Industrial Products represents small manufactures that supply products into the fluid sealing and power transmission sectors, and manufactures custom rubber molding, silicone foam, and silicone sponge. semi-annual board calls and annual board meeting. Stigall is a $6 million (revenue) industrial rubber distributor and manufacturer that is owned by a single individual. This owner also acts as corporate president. Primary duties of the board members are two-fold. First - to attend bi-annual board meetings, that would provide outside opinion to the owner in the areas of the company's current market positioning, current challenges, and future positioning. The owner envisions the board being strictly advisory and strategic. Second, the owner has a current succession plan in place. However, the individual so named (who is a current employee of the company), while capable and dedicated, is relatively young. The current owner would like a board to be familiar with the company, in order to provide oversight, strategic guidance, and continuity to the new president in the event of the current owner's incapacitation or death.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-03-12
S63 Uniform Securities Agent State Law Examination 1986-04-02
  • S65 Uniform Investment Adviser Law Examination
    1998-03-12
  • S63 Uniform Securities Agent State Law Examination
    1986-04-02
Designations

View on SEC IAPD

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