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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_RES 2021-10-18
NV RA APPROVED 2021-10-07
  • TX RA
    APPROVED_RES
    Since 2021-10-18
  • NV RA
    APPROVED
    Since 2021-10-07

Branch Locations

150 N College St Global Human Resources- The Academy, Charlotte, NC 28255 • United States

6900 Westcliff Dr Corp Employee Banking And Investments, Las Vegas, NV 89145 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Charles Schwab & Co., Inc. Honolulu HI 02/2015 04/2020
Charles Schwab Bank Honolulu HI 02/2015 04/2020
Hcy Global, Llc Honolulu HI 05/2011 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Henderson NV 04/2020 07/2021
Bank Of America, N.A. Henderson NV 04/2020 07/2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated Henderson NV 08/2021 Present
Previous Registrations
Other Businesses

HCY GLOBAL, LLC, located in Henderson, NV . It is my wife's business (retail/wholesale) she runs. It is not investment related. I am member since May 2011 (50% owner) so I can help with book keeping/tax filing. I may spend an hour or two a month usually on the weekends but never during securities trading hours or regular work hours. I*: 2425260 Entity Type: For Profit Name of OBA: P.H, Address: Henderson, NV 89002 Investment Related: No Position, Title, Association: Owner Employee Start Date: 5/1/202 Number of Hours: 6 hrs wkly Number of Hours during trading: 0 Duties Making fishing YouTube videos

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-10-14
  • S66 Uniform Combined State Law Examination
    2005-10-14

View on SEC IAPD

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