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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-08-11
TX RA APPROVED_RES 2002-01-07
  • CA RA
    APPROVED
    Since 2023-08-11
  • TX RA
    APPROVED_RES
    Since 2002-01-07

Branch Locations

275 E Rivulon Blvd, Gilbert, AZ 85297 • 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 Mesa AZ 04/1995 Present
Bank Of America,N.A. Gilbert AZ 06/2011 Present
Other Businesses

Entity Type: FOR-PROFIT NAME: CSS PROPERTIES LLC INVESTMENT RELATED: YES ADDRESS OF BUSINESS: MESA, ARIZONA 85213 POSITION, TITLE, ASSOCIATION: DUTIES: BUYING RENTAL PROPERTY TO BE HELD IN THE LLC. THIS LLC IS A SOLE HOLDING OF MY SEFL DIRECTED IRA DISCLOSED PREVIOUSLY AT AMERICAN PENSION SERVICES ACCT START DATE OF RELATIONSHIP: 9/3/2012 NUMBER OF HOURS DEVOTED: 2 MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 1 DUTIES: ONE RENTAL PROPERTY TO BE HELD IN AN SELF DIRECTED IRAT HAT HAS BEEN DISCLOSED. I*10995For profit or not for profit: Name of outside business organization: C and S S Investment related: Address of business: Sun Lakes, Arizona 85248 Position, title, association: Start date of relationship: 6/1/2021Number of hours devoted: 2 hour Number of hours devoted during trading hours: 0 I*2167265, Entity Type: Non profit Name of OBA: Greater Sun Lakes Community Foundation Address: Chandler AZ 85248 , Investment Related: No, Position, Title, Association: Board Member No Hours: 3 monthly , No Hours during Trading: 3 monthly, Duties: We have two fund raisers annually raising funds to help the senior population in need. This 501 C # organization has been around since 2013 and has a great reputation. I'm on the board of directors but not an officer. I*: 2512285 Entity Type: Fiduciary role Name of OBA: S. S. XXXX5 S. Ribbonwood Dr Sun Lakes, AZ Address: Sun Lakes, Arizona 85248 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 6/3/0225 Number of Hours: 6 hrs annually Number of Hours during trading: 1 hr annually Duties: Power of Attorney for spouse

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-08-04
S63 Uniform Securities Agent State Law Examination 1992-05-08
  • S65 Uniform Investment Adviser Law Examination
    1995-08-04
  • S63 Uniform Securities Agent State Law Examination
    1992-05-08

View on SEC IAPD

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