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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 2019-08-12
  • TX RA
    APPROVED
    Since 2019-08-12

Branch Locations

4830 Fm 1463 Rd, Katy, TX 77494 • United States

2522 W Grand Pkwy N, Katy, TX 77449 • 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 05/2019 Present
Bank Of America, N.A. Houston TX 05/2019 Present
Miner Ltd Dba Overhead Door Company Of Houston Houston TX 11/2015 05/2019
Champions Real Estate Group Houston TX 06/2011 06/2017
  • 05/2019 → Present
    Houston, TX
  • 05/2019 → Present
    Bank Of America, N.A.
    Houston, TX
  • 11/2015 → 05/2019
    Miner Ltd Dba Overhead Door Company Of Houston
    Houston, TX
  • 06/2011 → 06/2017
    Champions Real Estate Group
    Houston, TX
Other Businesses

I*123770 For profit or not for profit: For-Profit Organization Name of outside business organization: 3J Investments LLC Investment related: Y Address of business: Houston, Texas 77095 Nature of business: LLC, Position, title, association: Owner, Start date of relationship: 7/6/2015 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: LLC to hold and lease real property. Duties: Manage the property manager. I*124413 For profit or not for profit: For-Profit Organization Name of outside business organization: LLC Investment related: Y Address of business: Lake Jackson, Texas 77566 Nature of business: LLC, Position, title, association: Owner, Start date of relationship: 5/23/2019 Number of hours devoted: 12 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Purpose: Lease real property located at business address. Task: Manage Property Manager. I*124416 For profit or not for profit: For-Profit Organization Name of outside business organization: Nexgen Container Concepts LLC Investment related: Y Address of business: Houston, Texas 77095 Nature of business: LLC, Position, title, association: Owner, Start date of relationship: 5/1/2018 Number of hours devoted: 0 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Purpose: Buy and Sell A property in 2018 Task: None, property was sold in 2018, LLC is not actively used in 2019 I*8745 For profit or not for profit: Name of outside business organization: Rental Investment related: Address of business: Lake Jackson, Texas 77566 Nature of business: , Position, title, association: , Start date of relationship: 9/6/2019 Number of hours devoted: 1 hour(s) Number of hours devoted during trading hours: 0 Duties: I*1528258 For profit or not for profit: Entity For Profit Name of outside business organization: Oriole Housing LLC Investment related: N Address of business: Houston, Texas, 77095, United States Nature of business: ["Limited Liability Company"] Position, title, association: ["Owner"], Start date of relationship: 11/1/2023 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , Residential Real Estate Rental

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-08-09
  • S66 Uniform Combined State Law Examination
    2019-08-09
Other Names
  • James Earl Polk
  • James Polk

View on SEC IAPD

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