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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 2000-12-08
  • TX RA
    APPROVED
    Since 2000-12-08

Branch Locations

9595 Six Pines Dr, The Woodlands, TX 77380 • 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, Inc. The Woodlands TX 09/2000 Present
Bank Of America, N.A. Woodlands TX 05/2011 Present
  • 09/2000 → Present
    Merrill Lynch, Pierce, Fenner & Smith, Inc.
    The Woodlands, TX
  • 05/2011 → Present
    Bank Of America, N.A.
    Woodlands, TX
Other Businesses

I*39196 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: PETJO REAL ESTATE LLC INVESTMENT RELATED: Y ADDRESS OF BUSINESS: SAFFORD, ARIZONA 85546 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 1/28/2011 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: RENTAL PROPERTY - NO REAL DUTIES OTHER THAN COLLECTING RENT CHECKS AND PAYING VENDORS TO KEEP THE PROPERTY IN GOOD CONDITION. 2)THE JOHN COOPER SCHOOL; NOT INVESTMENT RELATED; 1 JOHN COOPER DRIVE, THE WOODLANDS, TX 77381; SCHOOL; MEMBER OF THE BOARD OF TRUSTEES; START DATE: 8-1-11; DEVOTES 2 HOURS EACH MONTH OUTSIDE OF TRADING HOURS; BOARD MEMBER OVERSEEING HEALTH OF THE SCHOOL. I*81373 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: THE JOHN COOPER SCHOOL INVESTMENT RELATED: N ADDRESS OF BUSINESS: THE WOODLANDS, TEXAS 77381 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 9/1/2015 NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: FINANCE COMMITTEE - CHECKS AND BALANCES FOR CHURCH STAFF - NO CHECK WRITING ABILITIES I*112054 For profit or not for profit: For-Profit Organization Name of outside business organization: Gosling sports complex Investment related: N Address of business: The Woodlands, Texas 77382 Nature of business: LLC, Position, title, association: Owner, Start date of relationship: 3/6/2020 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Sports complex for kids practice. basketball, baseball, football investor I*114694 For profit or not for profit: Non-Profit Organization Name of outside business organization: Carlton Woods Investment related: N Address of business: The Woodlands, Texas 77382 Nature of business: Charitable Organization, Position, title, association: Committee Member, Start date of relationship: 5/1/2018 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: golf club - finance committee without oversight or access to issue funds. I*1869279 Entity Type, Name of OBA: Woodlands Sportsplex Gymnastics and Athletics LLC Address: SpringTexas77389 Investment Related: No Position, Title, Association: Owner Employee Start Date: 08/01/2024 No Hours: 4 No Hours during trading: 0 Duties: This is the same business as an already approved OBA called Gosling Sportsplex. Their is a new tax id because there is a new partner involved.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-12-07
  • S66 Uniform Combined State Law Examination
    2000-12-07

View on SEC IAPD

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