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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2018-12-03
TX RA APPROVED_RES 2018-08-13
  • WA RA
    APPROVED
    Since 2018-12-03
  • TX RA
    APPROVED_RES
    Since 2018-08-13

Branch Locations

6400 S Fiddlers Green Cir, Greenwood Village, CO 80111 • United States

10400 Ne 4Th St, Bellevue, WA 98004 • United States

Olympia, WA • 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
Macys Bellevue WA 10/2010 10/2016
Wells Fargo Advisors, Llc Seattle WA 02/2015 11/2016
Wells Fargo Clearing Services, Llc Seattle WA 11/2016 03/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated Seattle WA 07/2018 Present
Uber Seattle WA 08/2017 Present
Lyft Seattle WA 02/2018 Present
Wa State Dshs Olympia WA 02/2014 Present
Salish Lodge Snoqualmie WA 06/2017 08/2017
Previous Registrations
Other Businesses

I*115788 Entity Type: Governmental Name of outside business organization: WA State Department of Human Health and Services Investment related: No Address of business: Olympia, Washington 98504 Position, title, association: Part-Time caregiver Start date of relationship: 2/1/2012 Number of hours devoted: 100 hours Monthly Number of hours devoted during trading hours: 0 Duties: Provide homecare services to disabled parent. COPES is a state program that provides comprehensive care management and helps pay for personal care, home delivered meals, home health care, adult day services, respite, transportation and other services (2) ONLINE SALES, NOT INV RELATED, BELLEVUE, WA, 100% OWNERSHIP, START 5/15/2017, 20 HOURS PER MONTH, ZERO DURING TRADING, ONLINE SALE OF CONSUMER GOODS AND SERVICES. I*124252 Entity Type: For Profit Name: AEG BUSINESS LLC Investment related: No Address of business: OLYMPIA, Washington 98507 Position, title, association: Delivery Driver Start date of relationship: 4/8/2019 Number of hours devoted: 80 hours Monthly Number of hours devoted during trading hours: 0 Duties: LLC is being created in order to consolidate income generated from Uber and Lyft. Uber and Lyft are already approved OBAs. I*134130 For profit or not for profit: For-Profit Organization Name of outside business organization: DBU AEG Business LLC Investment related: No Address of business: Olympia, Washington 98507 Position, title, association: Family Held Start date of relationship: 11/1/2020 Number of hours devoted: 80 hours Monthly Number of hours devoted during trading hours: 0 Duties: product merchandizing, fitness, business marketing, teaching, branding. Owner. I*1484269 Name of OBA:AEG Family Holdings, LLC Address: Hughes, Arkansas Investment Related: No Position, Title, Association: General Partner/Managing Member Employee Start Date:09/14/2023 No Hours: 0 No Hours during trading:0 Duties: LLC to hold family land. I will pay the taxes on it yearly. my duty is keeping it in the family I*: 2643301 Entity Type: Fiduciary role Name of OBA: K.L.J. Address: Bellevue, WA 98009 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 7/28/2025 Number of Hours: 104 hrs annually Number of Hours during trading: 0 Duties: Power of Attorney /Child/Grandchild

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-03-01
S63 Uniform Securities Agent State Law Examination 2012-06-16
  • S65 Uniform Investment Adviser Law Examination
    2014-03-01
  • S63 Uniform Securities Agent State Law Examination
    2012-06-16
Other Names
  • Ashley Elizabeth Gardner
  • Ashley Gardner

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