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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2015-01-21
TX RA APPROVED_RES 2009-01-15
AR RA APPROVED 2004-12-15
  • LA RA
    APPROVED
    Since 2015-01-21
  • TX RA
    APPROVED_RES
    Since 2009-01-15
  • AR RA
    APPROVED
    Since 2004-12-15

Branch Locations

2681 N Causeway Blvd, Mandeville, LA 70471 • 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 Mandeville LA 03/2000 Present
Bank Of America, N.A. Mandeville LA 12/2015 Present
Other Businesses

I*1905300Entity Type, Name of OBA: Entity For ProfitPlains Grove Brothers LLCAddress: MandevilleLouisiana70471Investment Related: YesPosition, Title, Association: General Partner/Managing MemberEmployee Start Date: 10/26/2009No Hours: 1No Hours during trading: 0Duties: This is a Family Investment LLC that my parents started 15 years ago. This was set up for tax purpose/estate reasons. It is a brokerage account that will hold stocks, etf's, mutual funds and cash.I*2929342, Entity Type: , Name of OBA: H R, Address: Mandeville, Louisiana, 70471, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 07/23/2025, No Hours: 1 Yearly, No Hours during Trading: 1 Yearly, Duties: I*1905300 Entity Type: Entity For Profit Name of OBA: Plains Grove Brothers LLC Address: Mandeville, Louisiana, 70471 Investment Related: Yes Position, Title, Association: Other Employee Start Date: 10/26/2009 Number of Hours: 1, Yearly Number of Hours during trading: 0, Yearly Duties: family investment manage portfolio

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-12-14
  • S66 Uniform Combined State Law Examination
    2004-12-14

View on SEC IAPD

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