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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 2004-12-17
CO RA APPROVED 2004-12-16
  • TX RA
    APPROVED_RES
    Since 2004-12-17
  • CO RA
    APPROVED
    Since 2004-12-16

Branch Locations

6400 S Fiddlers Green Cir, Greenwood Village, CO 80111 • 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 Englewood CO 12/2004 Present
Bank Of America, Na Aspen CO 09/2009 Present
Previous Registrations
Other Businesses

I*61168FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: L N M TRUSTINVESTMENT RELATED: YADDRESS OF BUSINESS:AMARILLO, TEXAS 79114NATURE OF BUSINESS: TRUST,POSITION, TITLE, ASSOCIATION: OTHER, BENEFICIARY ONLYSTART DATE OF RELATIONSHIP: 1/3/1994NUMBER OF HOURS DEVOTED: 0 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: I AM A BENEFICIARY TO THE TRUST AND HAVE NO RESPONSIBILITIES/TASKS. I RECEIVE MONTHLY INCOME THAT IS LARGELY RELATED TO OIL ROYALTIES; THERE IS NO ASSOCIATED BROKERAGE ACCOUNT AT THIS TIME. I*: 1048331 Name of OBA: Donut NV Address: Littleton, Colorado, Investment Related: N, Position, Title: Owner Employee Start Date: 10/28/2022,No Hours: 5, Monthly No Hours: during trading: 1 Duties: My husband and I are buying a Donut trailer franchise. We have not set up the TIN, yet, but the Company we are buying the Franchise in is called Donut NV. We will form an LLC to own the Company. My husband will be the primary owner/operator, but I will help him on the weekends I*4147265 Entity Type: For Profit, Name of OBA: Miller Family Trust, Address: Avon, Colorado, 81620, Investment Related: N, Position, Title, Association: Owner, Employee Start Date: 04/01/2026, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties: coordinating dates and cleaning, mountain home that will have some rental income I*4351265Entity Type: For ProfitName of OBA: Highway 6 E LLCAddress: Avon, Colorado, 81620Investment Related: NoPosition, Title, Association: OwnerEmployee Start Date: 05/05/2025Number of Hours: 1, MonthlyNumber of Hours during trading: 0, MonthlyDuties: Ownership of the rental property only managing a rental calendar and scheduling cleanings/repairs with my husband being the lead I*4405266, Entity Type: , Name of OBA: E M M TTEE M L M TTEE U/A DTD 01/23/2024 , Address: Columbine Valley, Colorado, 80123, Investment Related: N, Position, Title, Association: Co-Trustee, Employee Start Date: 01/23/2024, No Hours: 5 Monthly, No Hours during Trading: 0 Monthly, Duties:

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-08-10
S63 Uniform Securities Agent State Law Examination 1998-05-22
  • S65 Uniform Investment Adviser Law Examination
    1999-08-10
  • S63 Uniform Securities Agent State Law Examination
    1998-05-22
Other Names
  • Elizabeth Thomas
  • Elizabeth Mann Thomas
  • Sara Elizabeth Mann
  • Elizabeth M Thomas

View on SEC IAPD

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