Best Investors Account Sign in
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-19
FL RA APPROVED 2017-03-24
TX RA APPROVED_RES 2007-03-20
WA RA APPROVED 2004-03-25
  • NY RA
    APPROVED
    Since 2021-04-19
  • FL RA
    APPROVED
    Since 2017-03-24
  • TX RA
    APPROVED_RES
    Since 2007-03-20
  • WA RA
    APPROVED
    Since 2004-03-25

Branch Locations

10400 Ne 4Th St, Bellevue, WA 98004 • 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 Buffalo NY 10/2003 Present
Bank Of America, N.A. Buffalo NY 12/2009 Present
Other Businesses

I*32373 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: THOR AND SCHULZ ENTERPRISES INVESTMENT RELATED: NO ADDRESS OF BUSINESS: WILSONVILLE, OREGON 97070 POSITION, TITLE, ASSOCIATION: OWNER START DATE OF RELATIONSHIP: 9/1/1995 NUMBER OF HOURS DEVOTED: 0 NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: COMMERCIAL FISHING I*1030255 For profit or not for profit: Entity For Profit Name of outside business organization: LLC Investment related: No Address of business: Surprise, Arizona, 85374 Position, title, association: Owner Start date of relationship: 12/1/2022 Number of hours devoted: 2 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: I purchased a house in Surprise AZ that i will rent out. i put the property in an LLC for liability purposes I*4072276 Entity Type: Charitable Name of OBA: Eastern Washington University Foundation Address: Cheney, Washington, 99004 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 03/27/2026 Number of Hours: 12, Yearly Number of Hours during trading: 0 Duties: Eastern Washington University provides an inclusive, equitable, and transformative learning experience, driving the pursuit of knowledge with affordable academic excellence. The EWU Foundation board of directors provides oversight for the work of the Foundation. The Board determines the goals and objectives of specific fundraising initiatives, sets policy with regard to investments and spending and ensures that proper attention is paid to the stewardship of gifts already received.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-02-26
  • S66 Uniform Combined State Law Examination
    2004-02-26

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Bellevue, WA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor