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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_RES 2009-07-22
CO RA APPROVED 2009-07-08
  • TX RA
    APPROVED_RES
    Since 2009-07-22
  • CO RA
    APPROVED
    Since 2009-07-08

Branch Locations

123 N 7Th St, Grand Junction, CO 81501 • United States

Grand Junction, CO • 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 (7691) Grand Junction CO 07/2009 Present
Bank Of America, N.A. Grand Junction CO 05/2011 Present
  • 07/2009 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated (7691)
    Grand Junction, CO
  • 05/2011 → Present
    Bank Of America, N.A.
    Grand Junction, CO
Previous Registrations
Other Businesses

I*4397267 Entity Type: Fiduciary role Name of OBA: R. G. Address: Grand Junction, Colorado, 81505 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 04/20/2026 Number of Hours: 10, Yearly Number of Hours during trading: 3, Yearly Duties: Power of Attorney/Spouse

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-01-22
  • S66 Uniform Combined State Law Examination
    2007-01-22

View on SEC IAPD

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