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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APP_PEND_IARCE 2026-01-01
TX RA APPROVED 2009-10-23
  • NJ RA
    APP_PEND_IARCE
    Since 2026-01-01
  • TX RA
    APPROVED
    Since 2009-10-23

Branch Locations

4100 S Medford Dr, Lufkin, TX 75901 • 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 Lufkin TX 10/2009 Present
Bank Of America, N.A. Lufkin TX 05/2011 Present
Previous Registrations
  • 2008-05-09 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Lufkin, TX
    Houston, TX
  • 2007-10-17 → 2008-05-12
    Capital One Investments, Llc
    Lufkin, TX
    Lufkin, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-21
S63 Uniform Securities Agent State Law Examination 1996-11-22
  • S65 Uniform Investment Adviser Law Examination
    1999-12-21
  • S63 Uniform Securities Agent State Law Examination
    1996-11-22

View on SEC IAPD

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