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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 2005-08-16
CA RA APPROVED 2004-08-25
  • TX RA
    APPROVED
    Since 2005-08-16
  • CA RA
    APPROVED
    Since 2004-08-25

Branch Locations

3500 E Sunrise Dr, Tucson, AZ 85718 • 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 Tucson AZ 01/2004 Present
Bank Of America,N.A. Tucson AZ 06/2011 Present
Other Businesses

I*77766 For profit or not for profit: Non-Profit Organization Name of outside business organization: Casa De Los Ninos Investment related: N Address of business: Tucson, Arizona 85705 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 12/29/2014 Number of hours devoted: 3 hour(s) Quarterly Number of hours devoted during trading hours: 0 Duties: Casa serves abused and neglected children. My responsibility is to attend meetings that reveiw the health of the organization. I*: 1654265 Entity Type: Entity For Profit Name of OBA: PULPIT FARM ROAD LLC Address: San Antonio, TX 78209 Investment Related: No Position, Title, Association: General Partner/Managing Member Employee Start Date: 1/4/2024 Number of Hours: 0 Number of Hours during trading: 0 Duties: purpose of entity is to hold a rental property owned with family. Responsibilities are minimal and focused on maintenance of property. I*408445, Entity Type: Entity For Profit, Name of OBA: AZ Doppelganger LLC, Address: Tucson, Arizona, 85711, Investment Related: N, Position, Title, Association: General Partner/Managing Member, Employee Start Date: 10/15/2013, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties: oversight/management of rental properties, LLC for rental properties.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-05-18
  • S66 Uniform Combined State Law Examination
    2004-05-18

View on SEC IAPD

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