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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 2015-02-06
  • TX RA
    APPROVED
    Since 2015-02-06

Branch Locations

4281 Esplanade Pl, Flower Mound, TX 75028 • 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 Flower Mound TX 02/2015 Present
Bank Of America, N.A. Flower Mound TX 04/2015 Present
Previous Registrations
Other Businesses

I*78859FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: DALLAS PRODUCTIONINVESTMENT RELATED: NADDRESS OF BUSINESS: 4600 GREENVILLE AVE, DALLAS, TEXAS 75206NATURE OF BUSINESS: FAMILY BUSINESS,POSITION, TITLE, ASSOCIATION: OTHER, MINERAL INTEREST OWNERSTART DATE OF RELATIONSHIP: 3/4/2013NUMBER OF HOURS DEVOTED: 0 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: DALLAS PRODUCTION HAS AN OIL AND GAS LEASE ON MINERAL INTEREST THAT I OWN IN PALO PINTO COUNTYI RECEIVE PERIODIC CHECKS FROM DALLAS PRODUCTION AS I AM A ROYALTY OWNER.I*78810FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: RAISE, SHOW AND SELL QUARTER HORSESINVESTMENT RELATED: NADDRESS OF BUSINESS:DENTON, TEXAS 76210NATURE OF BUSINESS: FAMILY BUSINESS,POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 3/14/1990NUMBER OF HOURS DEVOTED: 20 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: RAISE SHOW AND SELL QUARTER HORSES I*3961274 Entity Type: N/A Name of OBA: J C Address: Denton, Texas, 76210 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 09/18/2024 Number of Hours: 0, Yearly Number of Hours during trading: 0, Yearly Duties: Self, Spouse

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-09-04
S63 Uniform Securities Agent State Law Examination 1998-08-27
  • S66 Uniform Combined State Law Examination
    2003-09-04
  • S63 Uniform Securities Agent State Law Examination
    1998-08-27
Other Names
  • Paula How
  • Paula Ann Schneider

View on SEC IAPD

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