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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 2017-08-03
CA RA APPROVED 2017-07-13
  • TX RA
    APPROVED_RES
    Since 2017-08-03
  • CA RA
    APPROVED
    Since 2017-07-13

Branch Locations

Phoenix, AZ • United States

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 10/2015 Present
Mesa Community College Phoenix AZ 08/2015 Present
Bank Of America, N.A. Chandler AZ 07/2017 Present
Other Businesses

I*: 2557263 Entity Type: Fiduciary role Name of OBA: The W. Living Trust Address: Phoenix, AZ 85044 Investment Related: No Position, Title, Association: Executor Employee Start Date: 11/01/2024 Number of Hours: 0 Number of Hours during trading: 0 Duties: Executor for self and spouse

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-06-30
S63 Uniform Securities Agent State Law Examination 2016-01-22
  • S66 Uniform Combined State Law Examination
    2017-06-30
  • S63 Uniform Securities Agent State Law Examination
    2016-01-22

View on SEC IAPD

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