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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 2004-07-22
NM RA APPROVED 2002-10-10
CA RA APPROVED 2002-03-18
  • TX RA
    APPROVED_RES
    Since 2004-07-22
  • NM RA
    APPROVED
    Since 2002-10-10
  • CA RA
    APPROVED
    Since 2002-03-18

Branch Locations

2125 Louisiana Blvd, Albuquerque, NM 87110 • 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. Albuquerque NM 05/2011 Present
Merrill Lynch, Pierce, Fenner & Smith Inc. Albuquerque NM 08/2001 Present
  • 05/2011 → Present
    Bank Of America, N.A.
    Albuquerque, NM
  • 08/2001 → Present
    Merrill Lynch, Pierce, Fenner & Smith Inc.
    Albuquerque, NM
Other Businesses

I*1354251, Entity Type: Charitable, Name of OBA: St. Pius X Foundation Address: Albuquerque, NM 87120 Investment Related: No Position, Title, Association: Board Member, Officer Employee Start Date: 6/21/23 No Hours: 4 hrs monthly No Hours during trading: 1 Duties: The purpose of the Foundation is to support St. Pius X school through endowments. Will be a Director on the Board of Directors for the Foundation. As a director of the Board I do not have any day-to-day duties in managing the Foundation. As a Director we set strategy, approve budgets and strategic initiatives for the Foundation. The VP of Advancement at SPX School executes on Board Strategy and day-to-day operation of SPX Foundation. I*1200414, Entity Type: For Profit Name of OBA: Albuquerque Country Club, Address: Albuquerque, New Mexico, 87104, Investment Related: N, Position, Title, Association: Committee, Board Member, Officer, Employee State Date: 03/01/2023, No Hours: 3 Monthly, No Hours during Trading: 0 , Duties: Overseeing the management of the country club. I am now the Vice President of the Board of Directors, but do not have any day-to-day duties in managing the club. As part of the Board of Directors we set strategy, establish policies, by-laws, approve budgets and oversee the General Manager (GM). The GM functions as the CEO of the club and executes Board Strategy all staff and day-to-day management of the Club. As chair of the membership committee we review applications for new members and rules, & events for the members and make recommendations to the Board, the membership committee is purely advisory. Private Country Club

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1997-09-05
S65 Uniform Investment Adviser Law Examination 1997-05-30
  • S63 Uniform Securities Agent State Law Examination
    1997-09-05
  • S65 Uniform Investment Adviser Law Examination
    1997-05-30
Other Names
  • Nathan R Armstrong

View on SEC IAPD

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