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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 2020-08-24
CO RA APPROVED 2020-08-14
  • TX RA
    APPROVED
    Since 2020-08-24
  • CO RA
    APPROVED
    Since 2020-08-14

Branch Locations

200 Josephine St, Denver, CO 80206 • 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 Boulder CO 12/2019 Present
Elevations Credit Union Broomfield CO 11/2019 12/2019
Prudential Centennial CO 10/2017 11/2019
Honor Society Handcrafted Eatery Denver CO 07/2015 10/2017
Lyft Denver CO 01/2016 04/2017
  • 12/2019 → Present
    Boulder, CO
  • 11/2019 → 12/2019
    Elevations Credit Union
    Broomfield, CO
  • 10/2017 → 11/2019
    Prudential
    Centennial, CO
  • 07/2015 → 10/2017
    Honor Society Handcrafted Eatery
    Denver, CO
  • 01/2016 → 04/2017
    Lyft
    Denver, CO
Other Businesses

I*461761For profit or not for profit: Entity For Profit, Name of outside business organization: James Chestnut, Investment related: N, Address of business: Denver, Colorado, 80302, Nature of business: ["Sole Proprietorship"]Position, title, association: ["Other"], Start date of relationship: 12/23/2019, Number of hours devoted: 50 hour(s) Yearly, Number of hours devoted during trading hours: 0, Duties: I occasionally perform in theatrical, staged, or cabaret productions that are usually one night only and I will receive tips or small amounts of compensation for the performances.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-08-13
  • S66 Uniform Combined State Law Examination
    2020-08-13
Other Names
  • James Chestnut

View on SEC IAPD

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