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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2015-08-05
TX RA APPROVED 2014-07-21
  • NC RA
    APPROVED
    Since 2015-08-05
  • TX RA
    APPROVED
    Since 2014-07-21

Branch Locations

5905 E Galbraith Rd Workplace Benefits, Cincinnati, OH 45236 • United States

620 S Tryon St, Charlotte, NC 28255 • 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 Houston TX 06/2014 Present
Previous Registrations
  • 2012-11-12 → 2014-03-05
    St Louis, MO
    Houston, TX
  • 2011-11-29 → 2012-09-12
    Pnc Managed Account Solutions, Inc.
    Houston, TX
  • 2009-07-02 → 2010-12-31
    Signator Financial Services, Inc.
    Bellevue, WA
  • 2008-01-30 → 2008-06-10
    Partnervest Advisory Services Llc
    Santa Barbara, CA
  • 2000-11-21 → 2003-09-09
    Chicago, IL
Other Businesses

I*2605304, Entity Type: , Name of OBA: B S Trust, Address: Charlotte, North Carolina, 28212, Investment Related: N, Position, Title, Association: Co-Trustee, Employee State Date: 18-Aug-2025, No Hours: 0 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-08-24
  • S66 Uniform Combined State Law Examination
    2000-08-24
Other Names
  • Olga Weiss Guin

View on SEC IAPD

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