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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 2004-10-20
  • TX RA
    APPROVED
    Since 2004-10-20

Branch Locations

1803 Broadway St, San Antonio, TX 78215 • United States

13355 Noel Rd Division - Texas South, Dallas, TX 75240 • United States

San Antonio, 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Antonio TX 07/1992 Present
Other Businesses

I*517001For profit or not for profit: Name of outside business organization: Orleans Rd LLCInvestment related: NAddress of business: Chatham, Massachusetts, 02650Nature of business: ["Business or Industry Organization"]Position, title, association: ["Owner"], Start date of relationship: 3/10/2017Number of hours devoted: 1 hour(s) YearlyNumber of hours devoted during trading hours: 0Duties: , LLC set up for Estate PurposesI*23986FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: SAN ANTONIO COLLEGE FINANCIAL MGT SERVICE COMMITTEINVESTMENT RELATED: NADDRESS OF BUSINESS:SAN ANTONIO, TEXAS 4299NATURE OF BUSINESS: OTHER,COMMUNICTY COLLPOSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 11/18/2009NUMBER OF HOURS DEVOTED: 2 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 2DUTIES: ADVISORY BOARD MEMBER THE SAN ANRTONIO COLLEGE FINANCE AND FINANCIAL MANAGEMENT SERVICES ADVISORY COMMITTEE IDENTIFIES INDIVIDUAL AND COMMUNITY NEEDS; HELPS ASSESS LABOR MARKET REQUIREMENTS; CONTRIBUTES TO THE ESTABLISHMENT OF THE BUSINESS COURSES----------I*100827FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: SAN ANTONIO SPORTS FOUNDATIONINVESTMENT RELATED: NADDRESS OF BUSINESS: SAN ANTONIO, TEXAS 78203NATURE OF BUSINESS: CHARITABLE ORGANIZATION,POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 12/13/2016NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 1DUTIES: BOARD ROLE ONYL, NOTHINGFINANCIAL, NO CHECK WRITNG , WILL BE ON YOUTH COMMITTESSFOR MORE THAN THIRTY YEARS, SAN ANTONIO SPORTS HAS BEEN TRANSFORMING OUR COMMUNITY THROUGH THE POWER OF SPORT BY DEVELOPING HEALTHY KIDS, PLACES TO PLAY, AND EVENTS----------I*136080For profit or not for profit: Non-Profit OrganizationName of outside business organization: TeamSa EndowmwntInvestment related: Address of business:San Antonio, Texas 78283Nature of business: Charitable Organization,Compensation for Activity: Position, title, association: Advisory Board Member, Start date of relationship: 2/9/2021Number of hours devoted: 4 hour(s) AnnuallyNumber of hours devoted during trading hours: Duties: The TeamSA Endowment financially supports the mission of San Antonio Sports to transform our community through the power of sport. Your support of the endowment helps solidify the financial foundation of San Antonio Sports for future generations.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-04-18
S63 Uniform Securities Agent State Law Examination 1998-07-23
  • S66 Uniform Combined State Law Examination
    2011-04-18
  • S63 Uniform Securities Agent State Law Examination
    1998-07-23
Other Names
  • Christopher J Flannery
  • Chris Flannery

View on SEC IAPD

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