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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 2018-02-06
WA RA APPROVED 2017-07-13
  • TX RA
    APPROVED_RES
    Since 2018-02-06
  • WA RA
    APPROVED
    Since 2017-07-13

Branch Locations

401 Union St, Seattle, WA 98101 • 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 Seattle WA 11/2014 06/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated Seattle WA 06/2020 Present
Bank Of America, N.A. Seattle WA 08/2020 Present
Other Businesses

I*517466For profit or not for profit: Name of outside business organization: Rental Property 1Investment related: NoAddress of business: Seattle, Washington, 98101Position, title, association: Co-owner with other family membersStart date of relationship: 3/1/2021Number of hours devoted: 2 hour) YearlyNumber of hours devoted during trading hours: 0Duties: Co-owner with other family members of rental propertyI*: 2575276Entity Type: For ProfitName of OBA: Grunge and Glamor LLCAddress: Seattle, WA 98125Investment Related: NoPosition, Title, Association: Manager of LLCEmployee Start Date: 07/03/2025Number of Hours: 3 hrs wklyNumber of Hours during trading: 0Duties: I am a Manager of the LLC at 10% ownership. A, R. my daughter, has 90% ownership. I*3663280 Entity Type: Entity Charitable Name of OBA: New Market Skills Center Foundation Address: Tumwater, Washington, 98501 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 04/01/2026 Number of Hours: 50, Yearly Number of Hours during trading: 8, Yearly Duties: Raise funds in support of New Market Skills Center's enduring mission of delivering outstanding and cutting-edge career and technical education. Serve a three year term as a board member.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-07-10
S63 Uniform Securities Agent State Law Examination 2017-02-28
  • S65 Uniform Investment Adviser Law Examination
    2017-07-10
  • S63 Uniform Securities Agent State Law Examination
    2017-02-28
Other Names
  • Kazon Rosia Galaviz
  • Kazon Rosia Ayala
  • Kazon Rosia Fields
  • Kazon Rosia Rotz
  • Kazon Rosia Shea
  • Kazon Valentine
  • Kazon R Valentine

View on SEC IAPD

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