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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 1999-01-04
  • TX RA
    APPROVED
    Since 1999-01-04

Branch Locations

1780 Hughes Landing Blvd, The Woodlands, TX 77380 • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Houston TX 12/1998 Present
Bank Of America,Na Houston TX 12/2009 Present
Other Businesses

FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION, NAME OF OUTSIDE BUSINESS ORGANIZATION: ALVIN MURGAI, INVESTMENT RELATED: Y, ADDRESS OF BUSINESS: THE WOODLANDS, TEXAS 77382, NATURE OF BUSINESS: FAMILY BUSINESS, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 4/1/2013, NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY, NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0, DUTIES: REAL ESTATE I*106479 For profit or not for profit: For-Profit Organization Name of outside business organization: Imperial Salon Investment related: N Address of business: Sugar Land, Texas 77478 Nature of business: LLC, Position, title, association: Limited Partner, Start date of relationship: 6/5/2017 Number of hours devoted: 0 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: The salon will be renting space to independent contractors. I*123303 For profit or not for profit: For-Profit Organization Name of outside business organization: Dam restraunt llc Investment related: N Address of business: Houston, Texas 77002 Nature of business: LLC, Position, title, association: Owner, Start date of relationship: 5/2/2019 Number of hours devoted: 5 hour(s) Quarterly Number of hours devoted during trading hours: 0 Duties: I own 50% equity interest in a restraunt--I have no day to day responsibilities--I am a passive investor I*123931 For profit or not for profit: For-Profit Organization Name of outside business organization: StarMB.LLC Investment related: N Address of business: Houston, Texas 77002 Nature of business: LLC, Position, title, association: Limited Partner, Start date of relationship: 5/21/2019 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: I am an investor and have no day to day responsibilities I*1200333 For profit or not for profit: Entity For Profit Name of outside business organization: Investment related: N Address of business: The Woodlands, Texas, 77382 Nature of business: ["Sole Proprietorship"] Position, title, association: ["Other"], Start date of relationship: 6/1/2022 Number of hours devoted: 1 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: Power of Attorney, POA--investments

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-08-08
S63 Uniform Securities Agent State Law Examination 1991-10-09
  • S66 Uniform Combined State Law Examination
    2006-08-08
  • S63 Uniform Securities Agent State Law Examination
    1991-10-09

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