Denise Ann Westbrook

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2022-12-20

TX RA
APPROVED

Since 2022-12-20

Branch Locations

13355 Noel Rd Division - Texas South, Dallas, TX 75240 • United States

9595 Six Pines Dr, The Woodlands, TX 77380 • United States

Conroe, TX • 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

Organization	City	State	From	To
Oppenheimer & Co. Inc.	The Woodlands	TX	05/2007	11/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated	The Woodlands	TX	11/2022	Present

05/2007 → 11/2022

Oppenheimer & Co. Inc.

The Woodlands, TX
11/2022 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

The Woodlands, TX

Previous Registrations

2013-09-09 → 2022-11-11

Oppenheimer & Co. Inc.

The Woodlands, TX

Houston, TX

The Woodlands, TX

Other Businesses

I*2201274, Entity Type: , Name of OBA: D W W, Address: Conroe, Texas, 77304, Investment Related: N, Position, Title, Association: Executor, Employee State Date: 17-Feb-2025, No Hours: 0 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-09-09
S63	Uniform Securities Agent State Law Examination	1997-09-24

S66 Uniform Combined State Law Examination

2013-09-09
S63 Uniform Securities Agent State Law Examination

1997-09-24

Other Names

Denise Ann Attaway
Denise Ann Rodriguez
Denise Potts
Denise Ann Rodriguez
Potts Rodriguez
Denise Ann Attaway
Denise Ann Potts
Denise Ann Ginn

View on SEC IAPD