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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 2004-07-15
NM RA APPROVED 2003-05-14
  • TX RA
    APPROVED
    Since 2004-07-15
  • NM RA
    APPROVED
    Since 2003-05-14

Branch Locations

2125 Louisiana Blvd, Albuquerque, NM 87110 • United States

Disclosures

1 disclosure category 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 No
  • 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 Albuquerque NM 01/2003 Present
Bank Of America,Na Albuqerque NM 12/2009 Present
Other Businesses

NAME AND ADDRESS: ENVIRONMENTAL FINANCE ADVISORY BOARD, USEPA, OFFICE OF ENTERPRISE TECHNOLOGY & INNOVATION AN ADVISORY BOARD CHARTERED UNDER THE FEDERAL ADVISORY COMMITTEE ACT, (FACA), 5 U.S.C. APP.2 PARA. 9(C), TO PROVIDE ADVICE AND RECOMMENDATIONS TO THE EPA ADMINISTRATOR THROUGH THE OFFICE OF THE CHIEF FINANCIAL OFFICER, OFFICE OF ENTERPRISE TECHNOLOGY AND INNOVATION, ON CRITICAL ENVIRONMENTAL FINANCING ISSUES BOTH DOMESTIC AND INTERNATIONAL. THE EFAB IS IN THE PUBLIC INTEREST AND SUPPORTS EPA IN PERFORMING ITS DUTIES AND RESPONSIBILITIES. IT ACTIVITIES ARE SOLELY ADVISORY IN NATURE, AND ARE NOT INVESTMENT-RELATED.INITIAL APPOINTMENT 3/30/2006 NUMBER HOURS/MONTH: 6 HOURS DEVOTED DURING TRADING HOURS: 2 BOARD MEMBER ATTEND EFAB MEETINGS AND PARTICIPATE IN EFAB COMMITTEES AND WORKGROUPS TO DEVELOP AND REVIEW RECOMMENDATIONS AND ADVICE TO THE EPA. I*43819 For profit or not for profit: For-Profit Organization Name of outside business organization: Gifts from the Garden Investment related: No Address of business: Albuquerque, New Mexico 87110 Nature of business: Sole Proprietorship, Position, title, association: I have no position with the entity Start date of relationship: 1/17/2003 Number of hours devoted: 0 Number of hours devoted during trading hours: 0 Duties: My wife performs landscape design and installation services under the business name Gifts from the Garden. I have no duties or responsibilities to her company in any capacity. I*2241266, Entity Type: Fiduciary role Name of OBA: MLPF& S CUST FPO D D H IRA FBO D D H , Address: Rio Rancho, New Mexico, 87124, Investment Related: No, Position, Title, Association: Power of Attorney, Employee State Date: 14-Mar-2025, No Hours: 1 Monthly, No Hours during Trading: 1 Monthly, Duties: Power of Attorney/direct family member. I*2944301 Entity Type: Fiduciary role Name of OBA: MLPF& S CUST FPO D. D H. RRA FBO D. D H. Address: Rio Rancho, New Mexico, 87124 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 10/02/2025 Number of Hours: 2, Weekly Number of Hours during trading: 2, Weekly Duties: Power of Attorney Parents

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-05-09
  • S66 Uniform Combined State Law Examination
    2003-05-09

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