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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 2020-05-29
  • TX RA
    APPROVED
    Since 2020-05-29

Branch Locations

13135 Dairy Ashford Rd Retirement & Personal Wealth Solutions, Sugar Land, TX 77478 • United States

1100-1800 American Blvd Retirement & Personal Wealth Solutions, Pennington, NJ 08534 • United States

Sugar Land, TX • 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
A I M Distributors, Inc. Houston TX 02/2001 05/2020
Invesco Advisers, Inc. Atlanta GA 01/2010 05/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated Sugar Land TX 05/2020 Present
Previous Registrations
  • 2010-01-01 → 2020-05-05
    Atlanta, GA
  • 2005-09-02 → 2010-01-01
    Invesco Aim Private Asset Management, Inc.
    Houston, TX
Other Businesses

OBA ID: 407356 ROBERT RODRIGUEZ - Bridge Preparatory Academy NOT INVESTMENT RELATED Address: SUGAR LAND, TX 77479 BOARD POSITION FOR A PRIVATE CHRISTIAN SCHOOL; BOARD MEMBER START: 04/2018 05HRS/MO, NOT DURING TRADING HOURS MONTHLY/QUARTERLY MEETINGS TO PROVIDE A GOVERNING BODY FOR THE SCHOOL. OBA ID; 504239 RENTAL PROPERTY #1 INVESTMENT RELATED Address: FRIENDSWOOD, TEXAS 77546 RENTAL INCOME; OWNER START: 04/2002; 1HR/MO, NOT DURING TRADING HOURS; MANAGING PROPERTY. RENTAL #2; INVESTMENT RELATED; SUGAR LAND, TX 77478; RENTAL INCOME; OWNER; START: 02/2014; 1HR/MO, NOT DURING TRADING HOURS; MANAGING PROPERTY. RENTAL #3; INVESTMENT RELATED; SUGAR LAND, TX 77478; RENTAL INCOME; OWNER; START: 09/2017; 1HR/MO, NOT DURING TRADING HOURS; MANAGING PROPERTY. I*4642296 Entity Type: Charitable Name of OBA: The Arc of Fort Bend County Address: Sugar Land, Texas, 77478 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 07/01/2026 Number of Hours: 3, Monthly Number of Hours during trading: 0 Duties: This is a Board position for the Arc which provides a variety of services to support families of special needs (IDD) children and adults. Services include advocacy, group homes, sports. My role will be in a governance role as a board member and serve a 2 year term. Monthly Board meetings and coaching

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-09-01
S63 Uniform Securities Agent State Law Examination 2001-04-23
  • S65 Uniform Investment Adviser Law Examination
    2005-09-01
  • S63 Uniform Securities Agent State Law Examination
    2001-04-23

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