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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 2021-02-25
CA RA APPROVED 2021-01-20
  • TX RA
    APPROVED_RES
    Since 2021-02-25
  • CA RA
    APPROVED
    Since 2021-01-20

Branch Locations

Queen Creek, AZ • United States

2555-2595 W Chandler Blvd Ci Client Management, Chandler, AZ 85224 • United States

1201 Pacific Ave Ci Client Management, Tacoma, WA 98402 • 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Chandler AZ 04/2020 Present
Unemployed Gilbert AZ 12/2019 04/2020
Petersen Properties And Management Inc Gilbert AZ 03/2016 12/2019
Jiangsu Shanshui Energy Co. Ltd New York NY 04/2015 12/2019
Bank Of America, N.A. Chandler AZ 03/2021 Present
  • 04/2020 → Present
    Chandler, AZ
  • 12/2019 → 04/2020
    Unemployed
    Gilbert, AZ
  • 03/2016 → 12/2019
    Petersen Properties And Management Inc
    Gilbert, AZ
  • 04/2015 → 12/2019
    Jiangsu Shanshui Energy Co. Ltd
    New York, NY
  • 03/2021 → Present
    Bank Of America, N.A.
    Chandler, AZ
Previous Registrations
  • 2008-03-31 → 2010-02-16
    El Paso, TX
    St Louis, MO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-01-15
  • S66 Uniform Combined State Law Examination
    2021-01-15
Other Names
  • Samuel Rivas

View on SEC IAPD

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