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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 2015-06-19
  • TX RA
    APPROVED
    Since 2015-06-19

Branch Locations

800 Capitol St Pbig - Houston Ii, Houston, TX 77002 • 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 06/2015 Present
Bank Of America, N.A. Houston TX 08/2015 Present
Previous Registrations
  • 2009-01-21 → 2015-07-07
    Barclays Capital Inc.
    Houston, TX
  • 2008-03-26 → 2008-10-15
    Lehman Brothers Inc.
    Houston, TX
    New York, NY
    Houston, TX
    New York, NY
Other Businesses

I*101717FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: UTAH BEACH D DAY MUSEUM COMMISSIONINVESTMENT RELATED: NOADDRESS OF BUSINESS: SAINTE MARIE DU MONT, 50480NATURE OF BUSINESS: CHARITABLE ORGANIZATIONPOSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER START DATE OF RELATIONSHIP: 1/24/2017NUMBER OF HOURS DEVOTED: 2 HOURS QUARTERLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 2DUTIES: THE UTAH BEACH D DAY MUSEUM COMMISSION HAS BEEN CREATED AND ORGANIZED TO HELP SUPPORT AND ADVISE THE UTAH BEACH D DAY MUSEUM LOCATED IN SAINTE MARIE DU MONT, FRANCE. MY ROLE WILL BE ONE OF 11 DIRECTORS WHO WILL PROVIDE STRATEGIC ADVICE AND RAISE $I*641261Entity Type; CharitableName of outside business organization: Utah Beach AssociationInvestment related: NoAddress of business: Sainte-Marie-du-Mont, , 50480Position, title, association: Board MemberStart date of relationship: 12/31/2021Number of hours devoted: 8 hours YearlyNumber of hours devoted during trading hours: 0Duties: I've been nominated to serve as an Honorary Founding Member and Board Member. As a board member, I will work to raise $ for the Utah Beach Museum in Normandy France.II*446967Entity Type: N/AName of OBA: Coronado ClubAddress: Houston, TX, 77002Investment Related: NoPosition: Committee, Board Member, OfficerEmployee Start Date:01/19/2024No Hours: 4No Hours during trading:2Duties:Chairman of the Wine Committee. My job will be to supervise wine purchases and events for the Coronado ClubI*: 2338258Entity Type: CharitableName of OBA: Strake Jesuit College Preparatory FoundationAddress: Houston, TX 77036Investment Related: NoPosition, Title, Association: Board MemberEmployee Start Date: 04/10/2025Number of Hours: 8 hrs mthlyNumber of Hours during trading: 0Duties: Providing oversight of the Strake Jesuit College Preparatory Foundation. The Strake Jesuit Foundation provides needs-based financial aid and scholarships to students attending Strake Jesuit College Preparatory. The Foundation board provides oversight of the ~$30mm foundation, makes sure the 3rd party financial service provider is investing the corpus in line with the goals of the Foundation, and hiring/firing the 3rd party financial advisor. The board will not be selecting any individual investments or funds.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-03-25
S63 Uniform Securities Agent State Law Examination 2005-10-03
  • S66 Uniform Combined State Law Examination
    2008-03-25
  • S63 Uniform Securities Agent State Law Examination
    2005-10-03
Other Names
  • Chris W Dewhurst

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