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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 2012-06-05
MI RA APPROVED 2010-05-04
IL RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2012-06-05
  • MI RA
    APPROVED
    Since 2010-05-04
  • IL RA
    APPROVED
    Since 2009-10-23

Branch Locations

39577 Woodward Ave, Bloomfield Hills, MI 48304 • 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 Troy MI 10/2009 Present
Bank Of America, N.A. Troy MI 05/2011 Present
Previous Registrations
  • 2008-10-24 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Troy, MI
  • 2005-08-29 → 2008-10-24
    Lasalle Financial Services, Inc.
    Chicago, IL
    Troy, MI
    Troy, MI
Other Businesses

I*2086320, Entity Type: Fiduciary, Name of OBA: P L. W Trust, Address: Rochester Hills, Michigan, 48309, Investment Related: N, Position, Title, Association: Co-Trustee, Employee State Date: 11/15/2024, No Hours: 11 Yearly, No Hours during Trading: 1 Yearly, Duties:I*2109280, Entity Type: Fiduciary, Name of OBA: J K E TTEE J P TTEE U/A DTD 12/22/1993 , Address: Rochester Hills, Michigan, 48309, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 15-Nov-2024, No Hours: 2 Monthly, No Hours during Trading: 0 Monthly, Duties:I*3095269Entity Type: N/AName of OBA:P.W. Irrev Trust Estate accountAddress:Rochester Hills MichiganInvestment Related:NoPosition, Title, Association:Co-TrusteeStart Date:10/24/2024No Hours: 1 MonthlyNo Hours during trading:0 MonthlyDuties:Co-Trustee for SiblingsI*4519282, Entity Type: , Name of OBA: B V. N Irrevocable Trust, Address: Rochester Hills, Michigan, 48309, Investment Related: N, Position, Title, Association: Successor Trustee, Employee Start Date: 05/04/2026, No Hours: 2 Yearly, No Hours during Trading: 0 Yearly, Duties: I*4588277 Entity Type: N/A Name of OBA: J K E TTEE T C L TTEE U/A DTD 10/07/2020 Address: Rochester Hills, Michigan, 48309 Investment Related: No Position, Title, Association: Co-Trustee Employee Start Date: 05/19/2026 Number of Hours: 2, Yearly Number of Hours during trading: 0, Yearly Duties: In-Laws

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-06-02
S63 Uniform Securities Agent State Law Examination 1987-01-06
  • S65 Uniform Investment Adviser Law Examination
    1999-06-02
  • S63 Uniform Securities Agent State Law Examination
    1987-01-06

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