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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 2007-12-04
  • TX RA
    APPROVED
    Since 2007-12-04

Branch Locations

601 State St, Southlake, TX 76092 • United States

3700 Buffalo Speedway, Houston, TX 77098 • 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 Southlake TX 11/2007 Present
Bank Of America, N.A. Southlake TX 12/2009 Present
Previous Registrations
Other Businesses

1.FOR PROFIT OR NOT FOR PROFIT: FOR PROFIT 2.NAME OF OUTSIDE BUSINESS ORGANIZATION: REAL ESTATE LICENSE 3.INVESTMENT RELATED: (YES OR NO) YES 4.ADDRESS OF BUSINESS:DALLAS, TEXAS 75206 5.NATURE OF BUSINESS: SOLE PROPRIETORSHIP 6.YOUR POSITION, TITLE, ASSOCIATION: OTHER 7.START DATE OF RELATIONSHIP: 08/01/2012 8.NUMBER OF HOURS DEVOTED PER MONTH: 50 ANNUALLY 9.NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS: 0 10.YOUR DUTIES: I WOULD LIKE TO OBTAIN MY REAL ESTATE LICENSE IN ORDER TO DEFRAY COSTS OF SELLING MY HOME. THERE IS A CHANCE I MAY HELP OUT FRIENDS AND FAMILY WITH THE PURCHASE OR SALE OF A HOME. I WILL NOT WORK WITH ANY CLIENTS IN THIS CAPACITY. I*89505 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: UT HEALTH LUMINARIES INVESTMENT RELATED: N ADDRESS OF BUSINESS: HOUSTON, TEXAS 77030 NATURE OF BUSINESS: CORPORATION, POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 1/4/2016 NUMBER OF HOURS DEVOTED: 5 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: HELPING WITH FUNDRAISING FOR UT MEDICAL SCHOOL I*89506 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: CENTER FOR HEARING AND SPEECH INVESTMENT RELATED: N ADDRESS OF BUSINESS: HOUSTON, TEXAS 77019 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 10/1/2015 NUMBER OF HOURS DEVOTED: 10 HOUR(S) QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: SERVING ON HOST COMMITTEE FOR THE ANNUAL FUNDRAISING GALA I*6068 For profit or not for profit: Name of outside business organization: Laura C. Greaser Investment related: Address of business: Houston, Texas 77005 Nature of business: Rental Property Position, title, association: , Start date of relationship: 4/2/2018 Number of hours devoted: 20 hour(s) Number of hours devoted during trading hours: 0 Duties: I*1362268, Entity Type: Fiduciary, Name of OBA: Dr. DFC, Address: Bluffton, South Carolina, 29910, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 12/03/2024, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-11-11
  • S66 Uniform Combined State Law Examination
    2003-11-11
Other Names
  • Laura Ashley Cohen

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