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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 2020-11-24
CA RA APPROVED 2020-11-23
  • TX RA
    APPROVED_RES
    Since 2020-11-24
  • CA RA
    APPROVED
    Since 2020-11-23

Branch Locations

100 Federal St Ci Business Controls, Boston, MA 02110 • United States

2555-2595 W Chandler Blvd Ci Client Management, Chandler, AZ 85224 • United States

Tempe, AZ • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • 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 Chandler AZ 10/2019 Present
Four Peaks Brewing Company Tempe AZ 12/2012 10/2019
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-11-19
  • S66 Uniform Combined State Law Examination
    2020-11-19

View on SEC IAPD

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