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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 2009-10-23
  • TX RA
    APPROVED
    Since 2009-10-23

Branch Locations

303 W Wall St, Midland, TX 79701 • United States

1 Cowboys Way, Frisco, TX 75034 • 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
Bank Of America N.A Midland TX 04/2008 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Midland TX 10/2009 Present
Previous Registrations
  • 2008-04-10 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Midland, TX
  • 2007-10-03 → 2008-04-10
    J.P. Morgan Securities Inc.
    Fort Worth, TX
    Fort Worth, TX
    Los Angeles, CA
    Dallas, TX
Other Businesses

I*1364272 For profit or not for profit: Entity Charitable Name of outside business organization: Manor Park, Inc. Investment related: N Address of business: Midland, Texas, 79707, United States Nature of business: ["Charitable Organization"] Position, title, association: ["Board Member"], Start date of relationship: 6/27/2023 Number of hours devoted: 5 hour(s) Monthly Number of hours devoted during trading hours: 1 Duties: , As a Continuing Care Retirement Community (CCRC), we provide services that will enhance everyday life in the relaxed atmosphere of a congenial community. The board has the business responsibility to ensure that the operation is profitable, to base it on sound business principles in order to remain fiscally solid and secure. The board will meet once a month to add expertise, vision and million compliance; to give responsibility to ensure that the operation is profitable, to base it on sounds business principles in order to remain fiscally solid and secure. Manor Park is not involved in an ATM business. My role as a board member is to attend monthly meetings and support the staff of Manor Park fulfill its mission to serve the elderly clients of Manor Park

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-10-02
S63 Uniform Securities Agent State Law Examination 2006-04-04
  • S65 Uniform Investment Adviser Law Examination
    2007-10-02
  • S63 Uniform Securities Agent State Law Examination
    2006-04-04

View on SEC IAPD

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