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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 2021-05-27
CA RA APPROVED 2021-01-07
  • TX RA
    APPROVED_RES
    Since 2021-05-27
  • CA RA
    APPROVED
    Since 2021-01-07

Branch Locations

1952 S Stapley Dr, Mesa, AZ 85204 • United States

198 N Alma School Rd, Chandler, AZ 85224 • 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 12/2019 Present
Deer Valley Credit Union Phoenix AZ 04/2019 11/2019
Unemployed Janesville WI 12/2018 04/2019
Kryptonite Kollectibles Janesville WI 11/2018 11/2018
Unemployed Janesville WI 09/2018 11/2018
Bmo Harris Bank Edgerton WI 04/2017 08/2018
Spi Crm Madison WI 03/2017 04/2017
Baker Tilly Temp Agency Madison WI 01/2017 01/2017
Mattress Firm Rockford IL 10/2016 12/2016
At&T Madison WI 02/2016 11/2016
Wisconsin Army National Guard Whitewater WI 03/2011 03/2017
Bank Of America, N.A. Chandler AZ 09/2021 Present
  • 12/2019 → Present
    Chandler, AZ
  • 04/2019 → 11/2019
    Deer Valley Credit Union
    Phoenix, AZ
  • 12/2018 → 04/2019
    Unemployed
    Janesville, WI
  • 11/2018 → 11/2018
    Kryptonite Kollectibles
    Janesville, WI
  • 09/2018 → 11/2018
    Unemployed
    Janesville, WI
  • 04/2017 → 08/2018
    Bmo Harris Bank
    Edgerton, WI
  • 03/2017 → 04/2017
    Spi Crm
    Madison, WI
  • 01/2017 → 01/2017
    Baker Tilly Temp Agency
    Madison, WI
  • 10/2016 → 12/2016
    Mattress Firm
    Rockford, IL
  • 02/2016 → 11/2016
    At&T
    Madison, WI
  • 03/2011 → 03/2017
    Wisconsin Army National Guard
    Whitewater, WI
  • 09/2021 → Present
    Bank Of America, N.A.
    Chandler, AZ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-01-06
  • S66 Uniform Combined State Law Examination
    2021-01-06

View on SEC IAPD

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