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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 2023-03-07
CA RA APPROVED 2023-02-16
  • TX RA
    APPROVED
    Since 2023-03-07
  • CA RA
    APPROVED
    Since 2023-02-16

Branch Locations

Phoenix, AZ • United States

2555-2595 W Chandler Blvd Ci Client Services, Chandler, AZ 85224 • 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
The Vanguard Group, Inc. Scottsdale AZ 07/2020 11/2021
Education At Work Tempe AZ 05/2019 07/2020
Chapman Chevy Tempe AZ 06/2018 03/2019
Arizona State Univirstity Tempe AZ 06/2016 05/2020
Robinhood Financial, Llc Tempe AZ 11/2021 10/2022
Robinhood Markets, Inc Tempe AZ 06/2022 10/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated Chandler AZ 10/2022 Present
Arizona Lutheran Outdoor Ministry Prescott AZ 06/2014 07/2018
Bank Of America, N.A. Chandler AZ 02/2023 Present
  • 07/2020 → 11/2021
    The Vanguard Group, Inc.
    Scottsdale, AZ
  • 05/2019 → 07/2020
    Education At Work
    Tempe, AZ
  • 06/2018 → 03/2019
    Chapman Chevy
    Tempe, AZ
  • 06/2016 → 05/2020
    Arizona State Univirstity
    Tempe, AZ
  • 11/2021 → 10/2022
    Robinhood Financial, Llc
    Tempe, AZ
  • 06/2022 → 10/2022
    Robinhood Markets, Inc
    Tempe, AZ
  • 10/2022 → Present
    Chandler, AZ
  • 06/2014 → 07/2018
    Arizona Lutheran Outdoor Ministry
    Prescott, AZ
  • 02/2023 → Present
    Bank Of America, N.A.
    Chandler, AZ
Other Businesses

I*1258295 For profit or not for profit: Name of outside business organization: Wisdom Gaming Investment related: N Address of business: , , Nature of business: Position, title, association: , Start date of relationship: Number of hours devoted: hour(s) Number of hours devoted during trading hours: Duties: , I did Admin work for an Esports event. They paid me as a contractor. This happens on the weekends and has zero relationship to finance

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-02-15
S63 Uniform Securities Agent State Law Examination 2020-10-26
  • S66 Uniform Combined State Law Examination
    2023-02-15
  • S63 Uniform Securities Agent State Law Examination
    2020-10-26
Other Names
  • Seth Cole
  • Seth Maxwell Cole

View on SEC IAPD

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