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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 2020-07-23
TX RA APPROVED_RES 2008-09-30
  • FL RA
    APPROVED
    Since 2020-07-23
  • TX RA
    APPROVED_RES
    Since 2008-09-30

Branch Locations

9128 Strada Pl, Naples, FL 34108 • United States

Naples, FL • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bloomfield Hills MI 09/2008 Present
Bank Of America, N.A. Bloomfield Hills MI 12/2009 Present
Other Businesses

I*75340 FOR-PROFIT ORGANIZATION - TRUST, BIRMINGHAM, MICHIGAN 48009 - INVESTMENT RLT'D - NO, HRS DEVOTED TO ACTIVITY - 2 HOUR(S) QUARTERLY, HRS DURING TRADING - 0, DATE ACTIVITY BEGAN 09/15/14, POSITION - FINANCIAL ADVISOR & SON OF CLIENT; POA - ASSIST IN TRADING ACCT, GIFTING, ETC. I*99944 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: ROSE HILL INVESTMENT RELATED: Y ADDRESS OF BUSINESS: HOLLY, MICHIGAN 48442 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: OTHER, ADVISING/REVIEW OF INVESTMENTS START DATE OF RELATIONSHIP: 11/18/2016 NUMBER OF HOURS DEVOTED: 10 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: ENTITY PROVIDES SUPPORT FOR THE MENTALLY ILL. I WOULD BE ON THE BOARD, ADVISING/OVERSEEING INVESTMENTS. THIS ACCOUNT WOULD NOT BE HELD HERE AT MERRILL. IT IS CURRENTLY AT NORTHERN TRUST. I*969301 For profit or not for profit: Entity For Profit Name of outside business organization: LLC Investment related: N Address of business: Clawson, Michigan, 48017 Nature of business: ["Limited Liability Company"] Position, title, association: ["General Partner/Managing Member"], Start date of relationship: 8/25/2022 Number of hours devoted: 1 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: , Rental Property I*1116263 For profit or not for profit: Entity For Profit Name of outside business organization: Shepardbush LLC Investment related: N Address of business: birmingham, Michigan, 48009 Nature of business: ["Limited Liability Company"] Position, title, association: ["Owner"], Start date of relationship: 12/25/2022 Number of hours devoted: 0 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , House real estate funds

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-07-30
S63 Uniform Securities Agent State Law Examination 1985-12-23
  • S65 Uniform Investment Adviser Law Examination
    1992-07-30
  • S63 Uniform Securities Agent State Law Examination
    1985-12-23

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