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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 2023-05-22
  • TX RA
    APPROVED
    Since 2023-05-22

Branch Locations

607 W 3Rd St, Austin, TX 78701 • 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 No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Guardian Life Insurance Company Austin TX 06/2021 10/2022
Wokou Ramen And Yakitori San Diego CA 04/2016 10/2018
El Prez San Diego CA 10/2018 02/2019
Beshock Ramen And Sake House San Diego CA 02/2018 10/2019
American Junkie San Diego CA 10/2019 10/2020
Unemployed San Diego CA 10/2020 06/2021
Thrivent Financial Appleton WI 10/2022 03/2023
Thrivent Investment Management Inc. Minneapolis MN 10/2022 03/2023
Merrill Lynch, Pierce, Fenner & Smith Incorporated Austin TX 03/2023 Present
Bank Of America, N.A. Austin TX 05/2023 Present
  • 06/2021 → 10/2022
    Guardian Life Insurance Company
    Austin, TX
  • 04/2016 → 10/2018
    Wokou Ramen And Yakitori
    San Diego, CA
  • 10/2018 → 02/2019
    El Prez
    San Diego, CA
  • 02/2018 → 10/2019
    Beshock Ramen And Sake House
    San Diego, CA
  • 10/2019 → 10/2020
    American Junkie
    San Diego, CA
  • 10/2020 → 06/2021
    Unemployed
    San Diego, CA
  • 10/2022 → 03/2023
    Thrivent Financial
    Appleton, WI
  • 10/2022 → 03/2023
    Minneapolis, MN
  • 03/2023 → Present
    Austin, TX
  • 05/2023 → Present
    Bank Of America, N.A.
    Austin, TX
Previous Registrations
Other Businesses

I*4692299 Entity Type: Entity Charitable Name of OBA: ADL Austin - Anti-defamation League Address: Austin, Texas, 78731 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 06/11/2026 Number of Hours: 5, Monthly Number of Hours during trading: 0, Monthly Duties: Founded in 1913, ADL timeless mission is to stop the defamation of the Jewish people and to secure justice and fair treatment to all. The ADL Austin team responds to acts of antisemitism and hate, builds community through meaningful partnerships, advocates for local policies and provides education programs for schools and workplaces. I will be the co-chair of the Glass Leadership Institute in Central Texas. I will help plan, administer, and recruit for the leadership training program.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2021-10-22
S65 Uniform Investment Adviser Law Examination 2021-03-26
  • S63 Uniform Securities Agent State Law Examination
    2021-10-22
  • S65 Uniform Investment Adviser Law Examination
    2021-03-26
Other Names
  • Josh Holwerda
  • Josh Tyler
  • Joshua Tyler Holwerda
  • Joshua Holwerda

View on SEC IAPD

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