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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2012-06-15
MO RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2012-06-15
  • MO RA
    APPROVED
    Since 2009-10-23

Branch Locations

1630 S Lindbergh Blvd, Frontenac, MO 63131 • 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 St. Louis MO 10/2009 Present
Bank Of America, N.A. Ladue MO 06/2011 Present
Previous Registrations
  • 2005-11-18 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Chesterfield, MO
    St. Louis, MO
  • 2005-04-28 → 2005-11-22
    Fenton, MO
Other Businesses

I*80509 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: T5 PROPERTIES INVESTMENT RELATED: YES ADDRESS OF BUSINESS: EUREKA, MISSOURI 63025 POSITION, TITLE, ASSOCIATION: OWNER START DATE OF RELATIONSHIP: 4/15/2015 NUMBER OF HOURS DEVOTED: 10 HOURS ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: REAL ESTATE OWNERSHIP I*121702 For profit or not for profit: For-Profit Organization Name of outside business organization: T5 Lakeside Properties Investment related: Yes Address of business: Eureka, Missouri 63025 Position, title, association: Owner Start date of relationship: 3/29/2019 Number of hours devoted: 24 hours Annually Number of hours devoted during trading hours: 0 Duties: I will be purchasing a Second Home/Investment Property. It will be a passive activity and owned under the LLC name listed above. It will be rented out some and a property management company will be hired to manage it. I*: 3045283 Entity Type: For Profit Name of OBA: T5 Columbia Properties LLC Address: Eureka, MO 63025 Investment Related: No Position, Title, Association: Owner Employee Start Date: 04/11/2025 Number of Hours: 12 hrs annually Number of Hours during trading: 0 Duties: Ownership and ongoing Maintenance I*4098268 Entity Type: For Profit Name of OBA: T5 Coachlight Plaza LLC Address: High Ridge, Missouri, 63049 Investment Related: No Position, Title, Association: Owner Employee Start Date: 04/15/2026 Number of Hours: 12, Yearly Number of Hours during trading: 0 Duties: Commercial Real Estate building ownership that my wife will manage The building is owned by my trust but my wife will manage it

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-04-26
S63 Uniform Securities Agent State Law Examination 1999-09-10
  • S66 Uniform Combined State Law Examination
    2005-04-26
  • S63 Uniform Securities Agent State Law Examination
    1999-09-10

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