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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2025-04-23
CA RA APPROVED 2008-04-22
TX RA APPROVED_RES 2008-02-29
  • WA RA
    APPROVED
    Since 2025-04-23
  • CA RA
    APPROVED
    Since 2008-04-22
  • TX RA
    APPROVED_RES
    Since 2008-02-29

Branch Locations

Bellingham, WA • United States

3500 E Sunrise Dr, Tucson, AZ 85718 • 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 Tucson AZ 02/2008 Present
Bank Of America,N.A. Tucson AZ 06/2011 Present
Other Businesses

(1) SS BASHEART, IIC; NOT IVST RLTD; TUCSON, AZ 85719; 1/1/00; REAL ESTATE PROPERTY (RAW LORD, INCOME RENTAL) AND PRIVATE PLACEMENTS; MANAGER/50% EQUITY HOLDER; 5HRS/MO; 0/TRDING; REVIEW CURRENT/FUTURE INVESTMENTS MONTHLY/MAKING DECISION WITH REGARDS TO PURCHAS, SALES, ETC OF MORE BUSINESS. I*36890 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION; NAME OF OUTSIDE BUSINESS ORGANIZATION: FLOWER OF LIFE, LLC; INVESTMENT RELATED: N; ADDRESS OF BUSINESS: TUCSON, ARIZONA 85719; NATURE OF BUSINESS: LLC; POSITION, TITLE, ASSOCIATION: OWNER; START DATE OF RELATIONSHIP: 7/1/2009; NUMBER OF HOURS DEVOTED: 16 HOUR(S) MONTHLY; NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0; DUTIES: PHOTOGRAPHY BUSINESS. PORTRAITS, FINE ART, LANDSCAPE, ETC. I*75716 For profit or not for profit: For-Profit Organization; Name of outside business organization: NFCDA LLC; Investment related: Y; Address of business: Phoenix, Arizona 85018; Nature of business: LLC; Position, title, association: Limited Partner; Start date of relationship: 10/1/2014; Number of hours devoted: 1 hour(s) Annually; Number of hours devoted during trading hours: 0; Duties: Entity is set up for private equity investments. I am a partner in LLC. Limited management or time as this is an ownership structure. I*1776304 Entity Type: For Profit; Name of OBA: Potters Pride LLC; Address: Tucson, AZ 85719 ; Investment Related: No; Position, Title, Association: General Partner/Managing Member; Start Date: 04/12/2024; No Hours: 0 Yearly; No Hours during trading: 0; Duties: LLC Holding company for previously disclosed Real Estate Investment through J&S Investments. JS discontinued so transferred ownership to new LLC I* 1804402 Name of outside business organization: Potter Place Homehowners Assoc. Inc.; Investment related: no; Address of business: Tucson, AZ, 85719; Nature of business: HOA, Co-op, Freehold; Position, title, association: Officer; Start date of relationship: 05/01/2024; Number of hours devoted: 1 yearly; Number of hours devoted during trading hours: 0; Duties: HOA for my neighborhood. I*2193260 Entity For Profit; Name of OBA: RS888 LLC; Address: Tucson , Arizona, 85719; Investment Related: N; Position: General Partner/Managing Member; Employee State Date: 02/14/2025; No Hours: 3 Monthly; No Hours during Trading: 0 Monthly; Duties: LLC to hold title of 2nd home that we are going to begin renting

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-04-18
S63 Uniform Securities Agent State Law Examination 2002-04-04
  • S65 Uniform Investment Adviser Law Examination
    2008-04-18
  • S63 Uniform Securities Agent State Law Examination
    2002-04-04
Other Names
  • Sean Lawrence Stuchen
  • Sean Stuchen

View on SEC IAPD

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