Robert Austin Hess

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2009-08-17

TX RA
APPROVED

Since 2009-08-17

Branch Locations

607 W 3Rd St, Austin, TX 78701 • United States

520 Newport Center Dr, Newport Beach, CA 92660 • United States

Horseshoe Bay, TX • 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 Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Houston	TX	10/2009	Present

10/2009 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Houston, TX

Previous Registrations

2003-08-22 → 2009-10-23

Banc Of America Investment Services, Inc.

Ft. Worth, TX

Dallas, TX

Dallas, TX

Addison, TX
2001-04-16 → 2003-09-15

Ubs Financial Services Inc.

Houston, TX

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-04-12

S66 Uniform Combined State Law Examination

2001-04-12

View on SEC IAPD

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

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