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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 1997-07-08
  • CA RA
    APPROVED
    Since 1997-07-08

Branch Locations

700 Main St, Napa, CA 94559 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Napa CA 09/1989 Present
Bank Of America, N.A. Napa CA 07/2010 Present
Other Businesses

1)OCCASIONAL SALES CONSULTANT TO WINE INDUSTRY. WHITFORD SELLERS, NAPA, CA 94558, SALES CONSULTANT OUT SIDE CONSULTANT, 3 HOURS MONTHLY, CHANING RED SELLERS, MIDDLETOWN, CA 95461 SALES CONSULTANT OUTSIDE CONSULTANT 3 HOURS MONTHLY COMPEN- SATION NONE. 2)FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: MCQUEERLY MEADOWS LLCINVESTMENT RELATED: YADDRESS OF BUSINESS:SAINT HELENA, CALIFORNIA 94574POSITION, TITLE, ASSOCIATION: LIMITED PARTNER, START DATE OF RELATIONSHIP: 6/1/2012NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: I AM SETTING UP AN LLC TO HOLD THE FUNDS FOR CURRENT AND FUTURE MOVIE PRODUCTION 3)FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: ELEVEN ELEVEN MOVEI LLCINVESTMENT RELATED: YADDRESS OF BUSINESS:SEDONA AZ, ARIZONA 86336NATURE OF BUSINESS: LLC,POSITION, TITLE, ASSOCIATION: LIMITED PARTNER, START DATE OF RELATIONSHIP: 4/1/2013NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: THE LLC WILL HOLD THE FUNDS FOR THE PRODUCTION OF THE MOVIE ELEVEN ELEVEN.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-06-22
S63 Uniform Securities Agent State Law Examination 1989-12-21
  • S65 Uniform Investment Adviser Law Examination
    1998-06-22
  • S63 Uniform Securities Agent State Law Examination
    1989-12-21
Other Names
  • John Victor Heflebower

View on SEC IAPD

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