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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_RES 2015-12-22
CA RA APPROVED 2015-12-14
  • TX RA
    APPROVED_RES
    Since 2015-12-22
  • CA RA
    APPROVED
    Since 2015-12-14

Branch Locations

2555-2595 W Chandler Blvd Ci Relationship Management, Chandler, AZ 85224 • 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 Yes
  • 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 08/2015 Present
Bank Of America, N.A. Chandler AZ 12/2015 Present
Other Businesses

I*625231 For profit or not for profit: Name of outside business organization: Rental Property 1 Investment related: N Address of business: PHOENIX, Arizona, 85006 Nature of business: Position, title, association: Sole owner, Start date of relationship: 11/30/2021 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: ,

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-12-11
  • S66 Uniform Combined State Law Examination
    2015-12-11

View on SEC IAPD

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