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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 2012-12-12
CA RA APPROVED 2012-11-27
  • TX RA
    APPROVED
    Since 2012-12-12
  • CA RA
    APPROVED
    Since 2012-11-27

Branch Locations

9000 Southside Blvd Ci Client Management, Jacksonville, FL 32256 • United States

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

Gilbert, AZ • 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 Chandler AZ 09/2012 Present
Bank Of America, N.A. Chandler AZ 10/2012 Present
Other Businesses

I*1204395 Entity Type: Entity For Profit Name of OBA: Serious Business Ventures LLC Address: Chandler, Arizona, 85226 Investment Related: No Position, Title, Association: Owner Employee Start Date: 03/06/2023 Number of Hours: 1, Monthly Number of Hours during trading: 0, Monthly Duties: For profit IV hydration spa. Provided partial financial backing and performed administrative tasks. No responsibilities since June 2025. Business is in the process of closing.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-11-16
  • S66 Uniform Combined State Law Examination
    2012-11-16
Other Names
  • Erik Wells

View on SEC IAPD

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