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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_RES 2005-02-16
HI RA APPROVED 2002-05-02
  • TX RA
    APPROVED_RES
    Since 2005-02-16
  • HI RA
    APPROVED
    Since 2002-05-02

Branch Locations

1003 Bishop St, Honolulu, HI 96813 • 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 Honolulu HI 05/1995 Present
Bank Of America, N.A. Honolulu HI 12/2009 Present
Other Businesses

I*104949 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: NKWT PROPERTIES INVESTMENT RELATED: Y ADDRESS OF BUSINESS: HONOLULU, HAWAII 96816 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 5/15/2017 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MY WIFE AND I SET UP AN LLC TO HOLD AN INVESTMENT PROPERTY THAT WE WILL RENT OUT. THE REAL ESTATE PURCHASE IS SCHEDULED TO CLOSE ON MAY 15, 2017. MY RESPONSIBILITY AS OWNER WILL BE TO HIRE A PROPERTY MANAGER. I*104950 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: NKWT PROPERTIES INVESTMENT RELATED: Y ADDRESS OF BUSINESS: HONOLULU, HAWAII 96816 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 5/15/2017 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MY WIFE AND I SET UP AN LLC TO HOLD AN INVESTMENT PROPERTY THAT WE WILL RENT OUT TO TENANTS. THE REAL ESTATE PURCHASE TRANSACTION IS SCHEDULED TO CLOSE ON MAY 15, 2017.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-03-08
  • S66 Uniform Combined State Law Examination
    2002-03-08

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