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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 1998-07-30
  • TX RA
    APPROVED
    Since 1998-07-30

Branch Locations

600 Rockmead Dr, Kingwood, TX 77339 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Kingwood TX 04/1998 Present
Bank Of America, N.A. Kingwood TX 09/2009 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1998-07-02
  • S66 Uniform Combined State Law Examination
    1998-07-02
Other Names
  • Bob Hayes

View on SEC IAPD

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