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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2000-01-13
TX RA APPROVED_RES 2000-01-10
  • CO RA
    APPROVED
    Since 2000-01-13
  • TX RA
    APPROVED_RES
    Since 2000-01-10

Branch Locations

6400 S Fiddlers Green Cir, Greenwood Village, CO 80111 • 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 Denver CO 10/1986 Present
Bank Of America,N.A. Greenwood Village CO 06/2011 Present
Other Businesses

I*74406FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: SPOUSAL POAINVESTMENT RELATED: YADDRESS OF BUSINESS: 884 HUNTINGTON DRIVE, HIGHLANDS RANCH, COLORADO 80126NATURE OF BUSINESS: OTHER,SPOUSAL POAPOSITION, TITLE, ASSOCIATION: OTHER, SPOUSAL POASTART DATE OF RELATIONSHIP: 10/31/2000NUMBER OF HOURS DEVOTED: 1 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 1DUTIES: SPOUSAL POA I*4661283 Entity Type: N/A Name of OBA: POA Son Address: Highlands Ranch, Colorado, 80126 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 02/15/2024 Number of Hours: 0, Yearly Number of Hours during trading: 0, Yearly Duties: N/A

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-07-28
  • S66 Uniform Combined State Law Examination
    1999-07-28
Other Names
  • Philip R Nevins

View on SEC IAPD

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