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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
DC RA APPROVED 2023-01-23
MD RA APPROVED 2023-01-23
TX RA APPROVED 2000-08-22
VA RA APPROVED 1993-04-19
  • DC RA
    APPROVED
    Since 2023-01-23
  • MD RA
    APPROVED
    Since 2023-01-23
  • TX RA
    APPROVED
    Since 2000-08-22
  • VA RA
    APPROVED
    Since 1993-04-19

Branch Locations

9595 Six Pines Dr, The Woodlands, TX 77380 • 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 The Woodlands TX 01/1992 Present
Bank Of America, N.A. The Woodlands TX 12/2009 Present
Other Businesses

I*80391 For profit or not for profit: For-Profit Organization Name of outside business organization: 943rd Edition Investment related: Y Address of business: The Woodlands, Texas 77382 Nature of business: Limited Partnership, Position, title, association: Limited Partner, Start date of relationship: 7/14/2014 Number of hours devoted: 2 hour(s) Annually Number of hours devoted during trading hours: 2 Duties: FLIP I am a limited partner I*1226291 For profit or not for profit: Entity For Profit Name of outside business organization: F-Dawg Aviation Investment related: N Address of business: The Woodlands, Texas, 77380 Nature of business: ["Limited Liability Company"] Position, title, association: ["General Partner/Managing Member"], Start date of relationship: 4/16/2023 Number of hours devoted: 1 hour(s) Weekly Number of hours devoted during trading hours: 0 Duties: , Is to hold and lease back an airplane I*1233271 For profit or not for profit: Name of outside business organization: Vivos Irrevocable Trust Investment related: N Address of business: , , Nature of business: Position, title, association: , Start date of relationship: Number of hours devoted: hour(s) Number of hours devoted during trading hours: Duties: , Fiduciary I*1317294 For profit or not for profit: Name of outside business organization: Carter H. Griffin Trust Investment related: N Address of business: Chevy Chase, Maryland, 20815 Nature of business: Position, title, association: Co-Trustee, Start date of relationship: 12/9/2022 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties:

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-04-07
S63 Uniform Securities Agent State Law Examination 1991-08-27
  • S65 Uniform Investment Adviser Law Examination
    1993-04-07
  • S63 Uniform Securities Agent State Law Examination
    1991-08-27
Other Names
  • Frederick Albert Degroot

View on SEC IAPD

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