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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
HI RA APPROVED 2021-01-26
TX RA APPROVED 2008-12-09
  • HI RA
    APPROVED
    Since 2021-01-26
  • TX RA
    APPROVED
    Since 2008-12-09

Branch Locations

1211 Sw 5Th Ave, Portland, OR 97204 • 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 Portland OR 12/2008 Present
Bank Of America, N.A. Portland OR 04/2010 Present
Previous Registrations
Other Businesses

I*10250: Name: Rental Invest related: Address:Clackamas, Oregon 97015Position: Start: 8/19/2015 hours : 2 hour(s) hours during trading: 0Duties: I*10251: Name : Rental Invest related: Address Oregon City, Oregon 97045 Position: , Start: 8/18/2015 hours: 2 hour(s) hours during trading: 0Duties: I*10254Name: Maui Kaanapali Villas Invest related: Address:Lahaina, Hawaii 96761: ,Position: , Start : 11/15/2016 hours: 0 hour(s) hours during trading: 0Duties: I*10253 Name : Multiple Joint owners Invest related: Address:Lincoln City, Oregon 97367, Position: , Start: 10/15/2018 hours devoted: 0 hour(s) hours during trading: 0Duties: I*10252 Name: G & L N Investrelated: Address:Milwaukie, Oregon 97222,Position: , Start: 6/15/1994 hours devoted: 2 hour(s) hours during trading: 0Duties: I*393662, Entity For Profit, Name: Moehnke Properties LLC, Address: Happy Valley, Oregon, 97086, Invest Related: N, Position: General Partner/Managing Member, Start: 11/15/2019, No Hours: 10 Monthly, No Hours during Trading: 2 Monthly, Duties: Property Manager -property management duties, repairs & rents, Manage Family Real Estate I*1846279, Entity Type, Name: Rental Property 1 Address: Milwaukie Oregon97222 Investment Related: No Position: Co-owner with other family members Start : 06/01/2024No Hours: 4 hours monthly No Hours during trading: 1 monthly Duties: I*2069266 Entity Type, Name: Rental Property 2 Address: Milwaukie, OR 97222 Investment Related: N Position: Co-owner with other family members Start: 07/31/2024 No Hours: 0 No Hours during trading: 0 Duties: I*4221275 Entity Type: Fiduciary roleName : The N. N. Revocable Living Trust Dated May 6th 2006Address: Happy Valley, Oregon, 97086Investment Related: No Position: Trustee Start: 03/30/2026Number of Hours: 5, WeeklyNumber of Hours during trading: 1, WeeklyDuties: Trustee/ Child/Grandchild I*4223268 Entity Type: Fiduciary roleName of OBA: L. N & G E N Trustee of the N Family Trust u/a dated May 2, 2025Address: Happy Valley, Oregon, 97086Investment Related: No Position: Trustee Start : 03/30/2026Number of Hours: 0Number of Hours during trading: 0Duties: Trustee/ Self and Spouse I*4221280, Entity Type: , Name of OBA: N Grandchildren's Trust FBO K O N, Address: Happy Valley , Oregon, 97086, Investment Related: N, Position: Trustee, Start: 03/30/2026, No Hours: 15 Yearly, No Hours during Trading: 5 Yearly, Duties: I*4221281, Entity Type: , Name of OBA: N Grandchildrens Trust FBO C J N, Address: Happy Valley , Oregon, 97086, Investment Related: N, Position: Trustee, Start: 03/30/2026, No Hours: 15 Yearly, No Hours during Trading: 5 Yearly, Duties: I*4463273, Entity Type: , Name: G E N TTEE U/A DTD 05/08/2006 BY W N ET AL , Address: Happy Valley , Oregon, 97086, Investment Related: N, Position: Trustee, Start: 04/20/2026, No Hours: 20 Yearly, No Hours during Trading: 5 Yearly, Duties: I*4423267, Entity For Profit, Name of OBA: Mauzey Property LLC, Address: Happy Valley , Oregon, 97086, Investment Related: N, Position: ["Other"], Start : 04/15/2026, No Hours: 10 Yearly, No Hours during Trading: 0 Yearly, Duties: I should have little or no responsibility. As part of an overall estate planning update after her father passed away, my wife received as a gift a very minority interest in a rental property. That property interest will be moved to our trust. I*4509318, Entity Type, Name of OBA: G E N TTEE U/A DTD 05/08/2006 BY W N Address: happy Valley Oregon 97086 Investment Related: No Position: Trustee Start: 04/28/2026 No Hours: 15 Yearly No Hours during trading: 10 Yearly Duties: I*4508405, Entity Type, Name of OBA: G E N TTEE U/A DTD 05/08/2006 BY W N Address: happy Valley Oregon 97086 Investment Related: No Position: Trustee Start: 04/28/2026 No Hours: 15 Yearly No Hours during trading: 10 Yearly Duties:

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-04-27
S63 Uniform Securities Agent State Law Examination 1988-02-26
  • S65 Uniform Investment Adviser Law Examination
    1993-04-27
  • S63 Uniform Securities Agent State Law Examination
    1988-02-26

View on SEC IAPD

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