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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 1992-08-14
  • TX RA
    APPROVED
    Since 1992-08-14

Branch Locations

1509 Emerald Pkwy, College Station, TX 77845 • United States

15375 Memorial Dr, Houston, TX 77079 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Houston TX 08/1992 Present
Bank Of America, N.A. Houston TX 01/2010 Present
Other Businesses

I*94202 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: COACHING INVESTMENT RELATED: N ADDRESS OF BUSINESS: 8714 WESTBROOK FOREST DR., SUGAR LAND, TEXAS 77479 NATURE OF BUSINESS: OTHER,NO FORMAL ENTITY. POSITION, TITLE, ASSOCIATION: PART-TIME, START DATE OF RELATIONSHIP: 5/29/2016 NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: COACHING BASEBALL SKILLS. THERE IS NO FORMAL ENTITY. I WAS ASKED TO GIVE PITCHING LESSONS TO LOCAL NEIGHBORHOOD KIDS.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1991-01-07
  • S63 Uniform Securities Agent State Law Examination
    1991-01-07

View on SEC IAPD

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