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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 2004-07-29
OK RA APPROVED 1998-12-10
  • TX RA
    APPROVED_RES
    Since 2004-07-29
  • OK RA
    APPROVED
    Since 1998-12-10

Branch Locations

6100 S Yale Ave, Tulsa, OK 74136 • 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 Tulsa OK 07/1998 Present
Bank Of America, Na Tulsa OK 01/2010 Present
Other Businesses

I*27395 ENTITY TYPE: HOA, FREEHOLD, CO-OP NAME OF OUTSIDE BUSINESS ORGANIZATION: BECKETT RIDGE HOMEOWNER'S ASSOCIATION INVESTMENT RELATED: NO ADDRESS OF BUSINESS: JENKS, OK 74037 POSITION, TITLE, ASSOCIATION: OFFICER START DATE OF RELATIONSHIP: 1/1/2009 NUMBER OF HOURS DEVOTED: 1 HOUR MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: OFFICER DIRECTOR/BOARD MEMBER MAINTENANCE AND BEAUTIFICATION OF NEIGHBORHOOD I*2215405, Entity Type: Fiduciary role Name of OBA: T L D, Address: Jenks, Oklahoma, 74037, Investment Related: No, Position, Title, Association: Power of Attorney, Employee State Date: 03-Mar-2025, No Hours: 0.5 Yearly, No Hours during Trading: 0 Duties: Power of Attorney for Spouse I*: 2593264 Entity Type:For Profit Name of OBA: Rusty Hook Properties, LLC Address: Bristow, OK 74010 Investment Related: No Position, Title, Association: Member owner Employee Start Date: 8/1/2025 Number of Hours: 5 hrs mthly Number of Hours during trading: 0 Duties: My wife and I own 55 acres of farmland 30 miles outside of Tulsa, OK. We've had this property for 12 years. There is no income coming from this property. From a liability perspective, we would like to move this property into a limited liability corporation (LLC) structure. Ongoing maintenance of the acreage.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-10-09
S63 Uniform Securities Agent State Law Examination 1998-05-26
  • S65 Uniform Investment Adviser Law Examination
    1998-10-09
  • S63 Uniform Securities Agent State Law Examination
    1998-05-26
Other Names
  • Steve Dunaway

View on SEC IAPD

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