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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 2008-07-23
  • TX RA
    APPROVED
    Since 2008-07-23

Branch Locations

4699 N Mesa St, El Paso, TX 79912 • 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 &Amp; Smith Incorporated El Paso TX 06/2008 Present
Bank Of America N.A. El Paso TX 12/2014 Present
  • 06/2008 → Present
    Merrill Lynch, Pierce, Fenner &Amp; Smith Incorporated
    El Paso, TX
  • 12/2014 → Present
    Bank Of America N.A.
    El Paso, TX
Previous Registrations
Other Businesses

I*2131275, Entity Type Entity For Profit, Name of OBA: Cates Enterprises LLC Address: El Paso Texas 79912 Investment Related: No Position, Title, Association: Other Employee Start Date: 09/08/2022 No Hours: 0 No Hours during trading: 0 Duties: Montana LLC for Vehicle registration only. Does not generate any revenue. Currently has 2 motorcycles titled.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-03-04
  • S66 Uniform Combined State Law Examination
    2006-03-04

View on SEC IAPD

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