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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 2019-04-25
CO RA APPROVED 2019-03-11
  • TX RA
    APPROVED
    Since 2019-04-25
  • CO RA
    APPROVED
    Since 2019-03-11

Branch Locations

370 17Th St, Denver, CO 80202 • 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 Denver CO 11/2018 Present
Unc-Chapel Hill; Kenan-Flagler Business School Chapel Hill NC 08/2016 12/2018
The Washington Woodworking Company Landover MD 04/2016 10/2016
Bank Of America, N.A. Denver CO 12/2018 Present
  • 11/2018 → Present
    Denver, CO
  • 08/2016 → 12/2018
    Unc-Chapel Hill; Kenan-Flagler Business School
    Chapel Hill, NC
  • 04/2016 → 10/2016
    The Washington Woodworking Company
    Landover, MD
  • 12/2018 → Present
    Bank Of America, N.A.
    Denver, CO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-03-08
  • S66 Uniform Combined State Law Examination
    2019-03-08
Other Names
  • David T Shams
  • David Shams

View on SEC IAPD

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