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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 2005-08-26
  • TX RA
    APPROVED_RES
    Since 2005-08-26

Branch Locations

2555 E Camelback Rd, Phoenix, AZ 85016 • 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 Phoenix AZ 10/1999 Present
Bank Of America,N.A. Phoenix AZ 06/2011 Present
  • 10/1999 → Present
    Merrill Lynch
    Phoenix, AZ
  • 06/2011 → Present
    Bank Of America,N.A.
    Phoenix, AZ
Other Businesses

I*54832 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: 58TH PLACE LLC INVESTMENT RELATED: N ADDRESS OF BUSINESS: SCOTTSDALE, ARIZONA 85260 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 2/29/2012 NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THE LLC WAS ESTABLISHED TO PURCHASE & FINANCE REAL ESATE AS PART OF MY PERSONAL OVERALL INVESTMENT PORTFOLIO. I AM THE SOLE OWNER. THE LLC WAS ESTABLISHED STRICTLY AS A LEGAL ENTITY TO OWN AND CONTROL MY REAL ESTATE INVESTMENTS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-01-18
  • S66 Uniform Combined State Law Examination
    2000-01-18
Other Names
  • Ken Riley

View on SEC IAPD

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