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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 2022-11-30
  • TX RA
    APPROVED
    Since 2022-11-30

Branch Locations

4281 Esplanade Pl, Flower Mound, TX 75028 • 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
Nylife Securities Llc Frisco TX 06/2021 07/2022
New York Life Insurance Company Frisco TX 02/2021 07/2022
Unemployed Lake Dallas TX 10/2020 02/2021
Pepsico Fort Worth TX 07/2018 10/2020
Unemployed Canton NY 05/2018 06/2018
Pepsi Cola Ogdensburg Bottlers Ogdensburg NY 06/2015 08/2017
Suny Cortland Cortland NY 08/2014 05/2018
Shoulettes Redemption Depot Canton NY 01/2012 12/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Flower Mound TX 10/2022 Present
Marty Bs Llc Flower Mound TX 06/2022 06/2022
Bank Of America, N.A. Flower Mound TX 12/2022 Present
  • 06/2021 → 07/2022
    Nylife Securities Llc
    Frisco, TX
  • 02/2021 → 07/2022
    New York Life Insurance Company
    Frisco, TX
  • 10/2020 → 02/2021
    Unemployed
    Lake Dallas, TX
  • 07/2018 → 10/2020
    Pepsico
    Fort Worth, TX
  • 05/2018 → 06/2018
    Unemployed
    Canton, NY
  • 06/2015 → 08/2017
    Pepsi Cola Ogdensburg Bottlers
    Ogdensburg, NY
  • 08/2014 → 05/2018
    Suny Cortland
    Cortland, NY
  • 01/2012 → 12/2017
    Shoulettes Redemption Depot
    Canton, NY
  • 10/2022 → Present
    Flower Mound, TX
  • 06/2022 → 06/2022
    Marty Bs Llc
    Flower Mound, TX
  • 12/2022 → Present
    Bank Of America, N.A.
    Flower Mound, TX
Other Businesses

I*5127273 Entity Type: N/A Name of OBA: Rental Property - 29-Jul-26 - 1 Address: Lake Dallas, Texas, 75065 Investment Related: No Position, Title, Association: Sole owner Employee Start Date: 08/14/2026 Number of Hours: 1, Weekly Number of Hours during trading: 0, Weekly Duties: N/A

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-09-30
S63 Uniform Securities Agent State Law Examination 2022-02-17
  • S66 Uniform Combined State Law Examination
    2022-09-30
  • S63 Uniform Securities Agent State Law Examination
    2022-02-17
Other Names
  • Lumbard E Lumbard
  • Thomas E Lumbard

View on SEC IAPD

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