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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2020-12-15
TX RA APPROVED_RES 2016-02-22
MN RA APPROVED 2013-11-04
  • CA RA
    APPROVED
    Since 2020-12-15
  • TX RA
    APPROVED_RES
    Since 2016-02-22
  • MN RA
    APPROVED
    Since 2013-11-04

Branch Locations

8300 Norman Center Dr, Bloomington, MN 55437 • 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 Bloomington MN 06/2003 Present
Bank Of America, N.A. Bloomington MN 12/2009 Present
Previous Registrations
  • 2002-03-18 → 2003-02-26
    Invest Financial Corporation
    St. Paul, MN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-05-18
  • S66 Uniform Combined State Law Examination
    2000-05-18
Designations

View on SEC IAPD

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