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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 2017-02-14
PA RA APPROVED 2010-06-28
WA RA APPROVED 2005-06-03
  • TX RA
    APPROVED_RES
    Since 2017-02-14
  • PA RA
    APPROVED
    Since 2010-06-28
  • WA RA
    APPROVED
    Since 2005-06-03

Branch Locations

1100-1800 American Blvd, Pennington, NJ 08534 • United States

600 Grant St, Pittsburgh, PA 15219 • 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 05/2002 Present
Previous Registrations
  • 2005-05-23 → 2006-11-28
    Merrill Lynch Trust Company
    Seattle, WA
    Pittsburgh, PA
    New York, NY
Other Businesses

(1)FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RIVER RIDERS INVESTMENT RELATED: NO ADDRESS OF BUSINESS: LEAVENWORTH, WASHINGTON 98826 NATURE OF BUSINESS: CORPORATION POSITION, TITLE, ASSOCIATION: RAFT GUIDE START DATE OF RELATIONSHIP: 06/07/2006 NUMBER OF HOURS DEVOTED: 12 HOUR(S) MONTHLY NUMBER OF HOURS DURING TRADING HOURS: 0 HOUR(S) MONTHLY DUTIES: RIVER RAFT GUIDE. (2)FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: 803 NORTH LUCIA RENTAL INVESTMENT RELATED: NO ADDRESS OF BUSINESS: REDONDO BEACH, CALIFORNIA 90277 NATURE OF BUSINESS: REAL ESTATE POSITION, TITLE, ASSOCIATION: OWNER START DATE OF RELATIONSHIP: 10/14/2011 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DURING TRADING HOURS: 0 HOUR(S) MONTHLY DUTIES: BUYING 3 UNIT HOME AND RENTING TWO UNITS OUT. 3RD UNIT TO BE OCCUPIED BY MY BROTHER, A CO-OWNER OF THE PROPERTY. I*9773 For profit or not for profit: Name of outside business organization: Pittsburgh Rental Property Investment related: Address of business: Pittsburgh, Pennsylvania 15217 Nature of business: , Position, title, association: , Start date of relationship: 2/17/2020 Number of hours devoted: 2 hour(s) Number of hours devoted during trading hours: 0 Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-05-19
  • S66 Uniform Combined State Law Examination
    2005-05-19
Other Names
  • Jeremy Floberg

View on SEC IAPD

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