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Lori J Bourdon

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chicago, IL

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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 2012-11-30
IL RA APPROVED 2007-12-01
  • TX RA
    APPROVED_RES
    Since 2012-11-30
  • IL RA
    APPROVED
    Since 2007-12-01

Branch Locations

110 N Wacker Dr Pbig - Chicago, Chicago, IL 60606 • 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 : 7691 Chicago IL 04/2007 Present
  • 04/2007 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
    Chicago, IL
Previous Registrations
  • 2002-12-03 → 2002-12-31
    Morgan Stanley Dw Inc.
    Chicago, IL
    Chicago, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-11-07
S63 Uniform Securities Agent State Law Examination 1986-11-18
  • S65 Uniform Investment Adviser Law Examination
    2007-11-07
  • S63 Uniform Securities Agent State Law Examination
    1986-11-18
Other Names
  • Lori Jean Quillin
  • Lori J Caston

View on SEC IAPD

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Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

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