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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 2024-03-27
MS RA APPROVED 2024-01-02
LA RA APPROVED 2020-02-03
  • TX RA
    APPROVED
    Since 2024-03-27
  • MS RA
    APPROVED
    Since 2024-01-02
  • LA RA
    APPROVED
    Since 2020-02-03

Branch Locations

601 Poydras St, New Orleans, LA 70130 • United States

13355 Noel Rd Division - Texas South, Dallas, TX 75240 • United States

1122 22Nd Ave, Meridian, MS 39301 • United States

1022 Highland Colony Pkwy, Ridgeland, MS 39157 • United States

2548 A Beach Blvd, Biloxi, MS 39531 • United States

New Orleans, LA • 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 New Orleans LA 05/2016 04/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated New Orleans LA 04/2022 Present
Other Businesses

I* 1532258For profit or not for profit: Entity For Profit,Entity Publicly TradedName of outside business organization: Uber EatsInvestment related: noAddress of business: New York, NY, 10006Nature of business: CorporationPosition, title, association: EmployeeStart date of relationship: 10/14/2023Number of hours devoted: 8 weeklyNumber of hours devoted during trading hours: 0Duties: Food DeliveryI* 1531273For profit or not for profit: Entity For Profit,Entity Publicly TradedName of outside business organization: DoorDash IncInvestment related: noAddress of business: San Francisco, CA, 94107Nature of business: CorporationPosition, title, association: EmployeeStart date of relationship: 10/14/2023Number of hours devoted: 8 weeklyNumber of hours devoted during trading hours: 0Duties: Food Delivery I*3149291 Entity Type: Entity For Profit Name of OBA: Queenpin LLC Address: New Orleans, Louisiana, 70118 Investment Related: No Position, Title, Association: General Partner/Managing Member Employee Start Date: 11/12/2025 Number of Hours: 2, Weekly Number of Hours during trading: 0, Weekly Duties: Make candles for Mardi Gras group Making candles to sell for parades

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-01-31
S63 Uniform Securities Agent State Law Examination 2009-10-08
  • S65 Uniform Investment Adviser Law Examination
    2020-01-31
  • S63 Uniform Securities Agent State Law Examination
    2009-10-08
Other Names
  • Tricia Nicole Burkett
  • Tricia Nicole Lein
  • Tricia Burkett
  • Tricia Lein

View on SEC IAPD

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