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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2001-04-17
IL RA APPROVED 1998-04-12
TX RA APPROVED_RES 1990-03-26
  • MO RA
    APPROVED
    Since 2001-04-17
  • IL RA
    APPROVED
    Since 1998-04-12
  • TX RA
    APPROVED_RES
    Since 1990-03-26

Branch Locations

7676 Forsyth Blvd, Clayton, MO 63105 • United States

3121 N Illinois St, Swansea, IL 62226 • 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 Belleville IL 01/1987 Present
Bank Of America,Na Clayton MO 12/2010 Present
Other Businesses

I*20416FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: NATIONAL CHILDREN'S CANCER SOCIETYINVESTMENT RELATED: NADDRESS OF BUSINESS:ST LOUIS, MISSOURI 63102NATURE OF BUSINESS: CHARITABLE ORGANIZATION,POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 0001-01-01NUMBER OF HOURS DEVOTED: 20 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: NON-PROFIT FOR KIDS WITH CANCER AND THEY ASSIST IN FUNDING MEDICAL TREATMENT AND ADVOCACY I*3390265, Entity Type: , Name of OBA: R S S, Address: Belleville , Illinois, 62220, Investment Related: N, Position, Title, Association: Successor Trustee, Employee Start Date: 12/29/2025, No Hours: 2 Yearly, No Hours during Trading: 1 Yearly, Duties: I*3384272 Entity Type: N/A Name of OBA: R S S Rev Living Trust Address: Belleville, Illinois, 62220 Investment Related: No Position, Title, Association: Successor Trustee Employee Start Date: 12/26/2025 Number of Hours: 10, Yearly Number of Hours during trading: 10, Yearly Duties: Child/Grandchild

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-10-14
S63 Uniform Securities Agent State Law Examination 1987-04-13
  • S65 Uniform Investment Adviser Law Examination
    1994-10-14
  • S63 Uniform Securities Agent State Law Examination
    1987-04-13

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