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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2015-12-22
TX RA APPROVED_RES 1989-02-17
  • LA RA
    APPROVED
    Since 2015-12-22
  • TX RA
    APPROVED_RES
    Since 1989-02-17

Branch Locations

2681 N Causeway Blvd, Mandeville, LA 70471 • 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 New Orleans LA 01/1988 Present
Bank Of America, Na New Orleans LA 12/2009 Present
Other Businesses

(1) TRUSTEE FOR SISTER'S TRUST SINCE 2004; ADDRESS IS 15120 DENDINGER DRIVE, COVINGTON, LA 70433;TAKES 10 MINUTES PER MONTH. NOT INVESTMENT RELATED. I*41854 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: THE FAMILY OF RESTURANTS INVESTMENT RELATED: Y ADDRESS OF BUSINESS: NEW ORLEANS, LOUISIANA 70130 NATURE OF BUSINESS: FAMILY BUSINESS, POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 1/3/2011 NUMBER OF HOURS DEVOTED: 1 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: FAMILY BUSINESS. 5% OWNERSHIP I*41855 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: COMANDER'S PALACE INVESTMENT RELATED: N ADDRESS OF BUSINESS: NEW ORLEANS, LOUISIANA 70130 NATURE OF BUSINESS: FAMILY BUSINESS, POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 1/3/2011 NUMBER OF HOURS DEVOTED: 1 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: FAMILY BUSINESS. 5% OWNERSHIP I*: 1692357 Entity Type: Entity For Profit Name of OBA: john t and claire l family partnership Address: Covington, LA Investment Related: No Position, Title, Association: Owner Employee Start Date: 6/29/1989 Number of Hours: 0 Number of Hours during trading: 0 Duties: this entity was formed june 29, 1989. as an estate planning tool for my parents. there were no real responsibilities

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-10-04
S63 Uniform Securities Agent State Law Examination 1988-05-12
  • S65 Uniform Investment Adviser Law Examination
    1994-10-04
  • S63 Uniform Securities Agent State Law Examination
    1988-05-12
Other Names
  • Thomas Brennan

View on SEC IAPD

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