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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 2009-10-23
  • TX RA
    APPROVED
    Since 2009-10-23

Branch Locations

301 Commerce St, Fort Worth, TX 76102 • United States

1 Cowboys Way, Frisco, TX 75034 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Bank Of America, N.A. Dallas TX 06/2007 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Dallas TX 10/2009 Present
Previous Registrations
  • 2007-10-24 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Ft. Worth, TX
Other Businesses

I*80822FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: CRESCENT SCHOLARSHIP FOUNDATIONINVESTMENT RELATED: NADDRESS OF BUSINESS:FT. WORTH, TEXAS 76102NATURE OF BUSINESS: CHARITABLE ORGANIZATION,POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 5/18/2015NUMBER OF HOURS DEVOTED: 3 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: PART OF A 4 PERSON COMMITTEE TO EVALUATE SCHOLARSHIP APPLICATIONS AND DECISION DISTRIBTUIONS TO STUDENTS FOR APPROVED EDCUATIONAL PROGRAMS (GENERALLY 4 YEAR COLLAGE). I*: 2130272 Entity Type: Entity Charitable Name of OBA: Fort Worth Bible Church Address: Fort Worth, TX 76109 Investment Related: n Position, Title, Association: Committee Employee Start Date: 01/01/2025 No Hours: 4 hr/week No Hours during trading:0 Duties: Faith-based/worship community. Role is Volunteer Chair of Finance Committee, helping to oversee the financial health and stewardship of the Church. Includes collaboration with staff and Elder Board on budgeting, financial reporting, and oversight/controls. Reports to the Elder Board, and works in conjunction with Finance Committee of 3 to 5 other volunteer members.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-10-15
  • S66 Uniform Combined State Law Examination
    2007-10-15

View on SEC IAPD

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