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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 2011-05-26
MS RA APPROVED 2011-05-09
  • TX RA
    APPROVED
    Since 2011-05-26
  • MS RA
    APPROVED
    Since 2011-05-09

Branch Locations

2900 W Davis St, Conroe, TX 77304 • 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 Pier Ce, Fenner &Amp; Smith, Inc. Monroe LA 02/2011 Present
Bank Of America, N.A. Monroe LA 05/2011 Present
  • 02/2011 → Present
    Merrill Lynch Pier Ce, Fenner &Amp; Smith, Inc.
    Monroe, LA
  • 05/2011 → Present
    Bank Of America, N.A.
    Monroe, LA
Other Businesses

I*399325, Entity Type: Entity For Profit, Name of OBA: Giddy Up Development LLC, Address: Spring, Texas, 77386, Investment Related: N, Position, Title, Association: General Partner/Managing Member, Employee Start Date: 05/25/2017, No Hours: 10 Yearly, No Hours during Trading: 5 Yearly, Duties: Since we have sold the property, the ongoing responsibilities are now mostly administrative until we close down the entity completely. The purpose of this entity was to develop a commercial business park in the Spring, TX area. I*432124 For profit or not for profit: Entity For Profit Name of outside business organization: Milwee Industrial Park LLC Investment related: No Address of business: Spring, Texas, 77386 Position, title, association: General Partner/Managing Member, Start date of relationship: 9/1/2021 Number of hours devoted: 20 hours Monthly Number of hours devoted during trading hours: 20 hrs mthly Duties: This property has been in my family for 40 years and I have the opportunity to purchase it. It is a multitenant business park in Houston. I will oversee the management and operations of it, negotiate leases, oversee finances, etc. of this property. I*2259315, Entity Type: Entity Charitable, Name of OBA: Faith United Methodist Church, Address: Spring, Texas, 77386, Investment Related: No, Position, Title, Association: Committee member, Employee State Date: 03/27/2025, No Hours: 25 Yearly, No Hours during Trading: 0 Duties: Trustees Committee helps with the physical maintenance of the church building and grounds. They meet several times per year and discuss maintenance projects and host work days to make repairs. I*: 2903274 Entity Type: Charitable Name of OBA: Faith United Methodist Church Address: Spring, TX 77386 Investment Related: No Position, Title, Association: Committee member Employee Start Date: 09/23/2025Number of Hours: 10 hrs mthly Number of Hours during trading: 5 hrs mthly Duties: I have been assured it will be strategic planning in nature and will involve zero fundraising on my part.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-05-06
  • S66 Uniform Combined State Law Examination
    2011-05-06
Other Names
  • Brian Alberts
  • Alan Brian Alberts

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