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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_RES 2012-06-15
GA RA APPROVED 2009-10-23
IL RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2012-06-15
  • GA RA
    APPROVED
    Since 2009-10-23
  • IL RA
    APPROVED
    Since 2009-10-23

Branch Locations

21805 W Field Pkwy, Deer Park, IL 60010 • 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 Chicago IL 10/2009 Present
Bank Of America, N.A. Crystal Lake IL 05/2011 Present
Previous Registrations
  • 1999-07-14 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Chicago, IL
    Chicago, IL
Other Businesses

I*8971 For profit or not for profit: For-Profit Organization Name of outside business organization: SUE SKOWRONSKI FINE ART Investment related: N Address of business: Woodstock, Illinois 60098 Nature of business: Family Business, Position, title, association: Family Held, Start date of relationship: 2/3/2006 Number of hours devoted: 2 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: I help my wife setting up her booth at weekend art fairs. I also assist with her marketing efforts and with sales tax returns.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-10-06
S63 Uniform Securities Agent State Law Examination 1986-10-03
  • S65 Uniform Investment Adviser Law Examination
    1997-10-06
  • S63 Uniform Securities Agent State Law Examination
    1986-10-03
Designations

View on SEC IAPD

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