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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2023-08-10
TX RA APPROVED 2023-01-03
  • IA RA
    APPROVED
    Since 2023-08-10
  • TX RA
    APPROVED
    Since 2023-01-03

Branch Locations

7545 Ashworth Rd Ste 100, West Des Moines, IA 50266 • United States

One Bryant Park, New York, NY 10036 • 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 Houston TX 03/2019 03/2022
Alvarez & Marsal Houston TX 09/2011 01/2019
Bank Of America N.A. Houston TX 01/2020 03/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated The Woodlands TX 06/2022 Present
Previous Registrations
Other Businesses

Name: Gobert RE LLC, Oikia LLC SEC Investment Related: No Address: Houston, TX, 77055 Nature: Residential real estate companies created for reporting, tax, and liability purposes (my husband and I own single-family rental homes managed by a 3rd party property management company) Position: Co-owner with spouse Start Date: 2017 Approximate Hours / Month: 5 Hours During Trading: 0 Duties: Strategy and Operations. I*429971, Entity Type: Entity For Profit, Name of OBA: OIkia Holdings LLC, Address: Houston, Texas 77055, Investment Related: N, Position, Title, Association: Other, Employee Start Date: 01/25/2017, No Hours: 5, No Hours during trading: 0, Duties: My husband and I own real estate and this LLC is the holding company for tax, reporting, and liability purposes. There are 0 full-time employees.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-10-17
  • S66 Uniform Combined State Law Examination
    2019-10-17
Other Names
  • Nicole Sparkman
  • Nicole Gobert
  • Nicole Marie Gobert

View on SEC IAPD

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