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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 2022-02-24
CA RA APPROVED 2022-02-18
  • TX RA
    APPROVED_RES
    Since 2022-02-24
  • CA RA
    APPROVED
    Since 2022-02-18

Branch Locations

6950 Tpc Dr, Mckinney, TX 75070 • United States

555 California St, San Francisco, CA 94104 • United States

2555 E Camelback Rd, Phoenix, AZ 85016 • 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
Raymond James And Associates St Petersburg FL 04/2016 11/2018
Raymond James & Associates Inc San Francisco CA 11/2018 Present
Equinox San Francisco CA 06/2021 06/2021
Raymond James & Associates Inc San Francisco CA 11/2018 11/2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Francisco CA 11/2021 Present
Previous Registrations
Other Businesses

I*1020369, Name of OBA: Rental Property 1 Address: MT. SHASTA, CA Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date:10/15/2022 No Hours: 2 Monthly No Hours during trading: 0 Duties:. I*624283, Entity Type: Entity For Profit, Name of OBA: EMW LA ESTANCIA LLC, Address: ST. PETERSBURG, Florida 33701, Investment Related: N, Position, Title, Association: Other, Employee Start Date: 12/02/2021, No Hours: 0, No Hours during trading: 0, Duties: My father works in affordable housing financing. He recently added my sister and me to a limited interest partnership where we will eventually receive passive income from rent payments to La Estancia Ltd. The housing is for farm workers in central Florida, near Tampa. We do not currently receive payments, and it may be some time (years) before I ever do. At this time I have no income to report. But my father wanted us added as a family legacy gesture. That is all. I know little else about the specifics of the project but can provide docs as needed.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-12-22
  • S66 Uniform Combined State Law Examination
    2018-12-22

View on SEC IAPD

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