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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2015-12-22
TX RA APPROVED_RES 1995-07-25
  • LA RA
    APPROVED
    Since 2015-12-22
  • TX RA
    APPROVED_RES
    Since 1995-07-25

Branch Locations

445 North Blvd, Baton Rouge, LA 70802 • 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 Baton Rouge LA 01/1991 Present
Bank Of America, N.A. Baton Rouge LA 02/2011 Present
Other Businesses

I*56625FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: MCCLENDON DESIGNSINVESTMENT RELATED: NADDRESS OF BUSINESS: SAINT FRANCISVILL, LOUISIANA 70775NATURE OF BUSINESS: LLC,POSITION, TITLE, ASSOCIATION: START DATE OF RELATIONSHIP: 01/26/2009NUMBER OF HOURS DEVOTED: 0 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: DESIGN, MANUFACTURE, AND SELL JEWELRY AND ART FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: OAKLAND PROPERTIESINVESTMENT RELATED: NPOSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 6/8/2012NUMBER OF HOURS DEVOTED: 1 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: MANAGER/OWNER OF 30 ACRES OF RAW LAND IN EAST FELICIANA PARISH I*43851FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: THOMPSON CREEK BLUFFS HUNTING CLUBINVESTMENT RELATED: NADDRESS OF BUSINESS:SAINT FRANCISVILLE, LOUISIANA 70775NATURE OF BUSINESS: LLC,POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 5/1/2010NUMBER OF HOURS DEVOTED: 8 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: RUN AND OPPORATE HUNTING CLUB I*4521283, Entity Type: Entity Charitable, Name of OBA: Grace Church, Address: Saint Francisville, Louisiana, 70775, Investment Related: N, Position, Title, Association: Board Member, Employee Start Date: 05/21/2026, No Hours: 2 Monthly, No Hours during Trading: 0 Monthly, Duties: Make decisions regarding Grace Church. Serve as a vestry member

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-04-29
S63 Uniform Securities Agent State Law Examination 1991-07-19
  • S65 Uniform Investment Adviser Law Examination
    1993-04-29
  • S63 Uniform Securities Agent State Law Examination
    1991-07-19

View on SEC IAPD

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