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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 2023-04-25
  • TX RA
    APPROVED
    Since 2023-04-25

Branch Locations

5775 N Sam Houston Pkwy W, Houston, TX 77086 • 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
Jp Morgan Securites Llc Houston TX 01/2012 12/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated Houston TX 12/2022 Present
Bank Of America N.A, Houston TX 12/2022 Present
Other Businesses

I*4478272 Entity Type: For Profit Name of OBA: echo afc transportation Address: Houston, Texas, 77032 Investment Related: No Position, Title, Association: Employee Employee Start Date: 06/14/2026 Number of Hours: 6, Monthly Number of Hours during trading: 0 Duties: Transportation of individual via reserve car to venues. Chauffer pick up individuals at the airport and provide them a ride to their hotel or venue

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-04-19
S63 Uniform Securities Agent State Law Examination 2015-05-06
  • S66 Uniform Combined State Law Examination
    2023-04-19
  • S63 Uniform Securities Agent State Law Examination
    2015-05-06

View on SEC IAPD

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