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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_RES 2010-06-23
WA RA APPROVED 2005-08-08
  • TX RA
    APPROVED_RES
    Since 2010-06-23
  • WA RA
    APPROVED
    Since 2005-08-08

Branch Locations

401 Union St, Seattle, WA 98101 • 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 Seattle WA 09/2004 Present
Bank Of America,Na Seattle WA 08/2009 Present
Other Businesses

I*8472For profit or not for profit: Name of outside business organization: Leavenworth PropertyInvestment related: Address of business:Leavenworth, Washington 98826Nature of business: ,Position, title, association: , Start date of relationship: 10/4/2018Number of hours devoted: 2 hour(s) Number of hours devoted during trading hours: 0Duties:I*125126For profit or not for profit: For-Profit OrganizationName of outside business organization: Madison Real EstateInvestment related: NAddress of business:Seattle, Washington 98112Nature of business: LLC,Position, title, association: General Partner, Start date of relationship: 8/1/2017Number of hours devoted: 4 hour(s) AnnuallyNumber of hours devoted during trading hours: 0Duties: This is a condo that I purchased as a primary residence that now i rent out. I placed the condo in a LLC per my estate attorney.I*2575277, Entity Type: Entity For Profit, Name of OBA: Miracle Mile LLC, Address: Mercer Island, Washington, 98040, Investment Related: N, Position, Title, Association: General Partner/Managing Member, Employee State Date: 11/04/2020, No Hours: 0 Yearly, No Hours during Trading: 0 Yearly, Duties: None. This is an LLC that held a rental property, but that has now been sold and there is nothing in the LLC.I*3020298, Entity Type: , Name of OBA: K M Trust, Address: Mercer Island, Washington, 98040, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 11/01/2025, No Hours: 10 Yearly, No Hours during Trading: 5 Yearly, Duties: I*2929321 Entity Type: N/A Name of OBA: Rental Property 1 Address: Chelan, Washington, 98816 Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date: 09/01/2025 Number of Hours: 2, Monthly Number of Hours during trading: 0, Monthly Duties: N/A

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-08-04
  • S66 Uniform Combined State Law Examination
    2005-08-04
Other Names
  • Shannon S Botch
  • Shannon L Botch

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