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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2021-03-17
TX RA APPROVED 2020-11-04
HI RA APPROVED 2020-10-02
  • CO RA
    APPROVED
    Since 2021-03-17
  • TX RA
    APPROVED
    Since 2020-11-04
  • HI RA
    APPROVED
    Since 2020-10-02

Branch Locations

Snowmass Village, CO • United States

1003 Bishop St, Honolulu, HI 96813 • 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
Ppg Paints Honolulu HI 04/2015 06/2018
Morgan Stanley Smith Barney Llc Honolulu HI 09/2019 01/2020
West Texas A & M University Canyon TX 06/2018 08/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated Honolulu HI 08/2020 Present
Unemployed Honolulu HI 01/2020 08/2020
Bank Of America, N.A. Honolulu HI 10/2020 Present
  • 04/2015 → 06/2018
    Ppg Paints
    Honolulu, HI
  • 09/2019 → 01/2020
    Morgan Stanley Smith Barney Llc
    Honolulu, HI
  • 06/2018 → 08/2019
    West Texas A & M University
    Canyon, TX
  • 08/2020 → Present
    Honolulu, HI
  • 01/2020 → 08/2020
    Unemployed
    Honolulu, HI
  • 10/2020 → Present
    Bank Of America, N.A.
    Honolulu, HI
Other Businesses

Shootz Tools, Honolulu Hawaii 96825. The business started in 2009. I spend about 25 hours per year working-selling a tool I invented. I have only one customer; the business is not investment related. I currently do not make a profit; it is more like a hobby of mine. I and my wife are the owner. I*845262 For profit or not for profit: Name of outside business organization: Rental Property 1 Investment related: N Address of business: Snowmass Village, Colorado, 81615 Nature of business: Position, title, association: Sole owner, Start date of relationship: 5/11/2022 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: ,

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-03-02
  • S66 Uniform Combined State Law Examination
    2020-03-02
Other Names
  • John C Miller

View on SEC IAPD

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