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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 1993-05-03
  • TX RA
    APPROVED
    Since 1993-05-03

Branch Locations

13135 Dairy Ashford Rd, Sugar Land, TX 77478 • United States

Brookshire, TX • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Stafford TX 01/1993 Present
Bank Of America,Na Sugarland TX 12/2009 Present
Other Businesses

I*409420 For profit or not for profit: Entity For Profit Name of outside business organization: Forever Green Turfs Investment related: N Address of business: Brookshire, Texas, 77423 Nature of business: ["Limited Liability Company"] Position, title, association: ["General Partner/Managing Member"], Start date of relationship: 3/4/2021 Number of hours devoted: 20 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , it is a distributor of Artificial turf. I will be the managing partner. I*41380 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: THE HOUSTON LIVE STOCK SHOW AND RODEO INVESTMENT RELATED: N ADDRESS OF BUSINESS: HOUSTON, TEXAS 77054 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: DIRECTOR, START DATE OF RELATIONSHIP: 5/12/2011 NUMBER OF HOURS DEVOTED: 100 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 25 DUTIES: I WILL SEVE AS MEMBER OF THE BOARD OF DIRECTORS. I WILL ASSIST IN PHILANTHROPIC ACTIVITES. I*92358 For profit or not for profit: For-Profit Organization Name of outside business organization: 5767 landscape artist LLC Investment related: N Address of business: katy, Texas 77450 Nature of business: LLC, Position, title, association: Owner, Start date of relationship: 4/18/2016 Number of hours devoted: 15 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: wife has been partner in this company and I forsee me becoming more envolved with the company and this assisting in the running of the company I*118613 For profit or not for profit: Non-Profit Organization Name of outside business organization: RSMIS Foundation Investment related: N Address of business: Galveston, Texas 77553 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 11/8/2018 Number of hours devoted: 20 hour(s) Annually Number of hours devoted during trading hours: 5 Duties: board member to approve and grant monies to the charity organizations that request funding basised on the foundations guide lines I*130357 For profit or not for profit: For-Profit Organization Name of outside business organization: Dimond A land Company, LLC Investment related: Y Address of business: Houston, Texas 77079 Nature of business: LLC, Position, title, association: Other, sole member of the LLC Start date of relationship: 3/5/2020 Number of hours devoted: 10 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: It is a LLC that I will hold Land I am purchasing. single member of the LLC

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-04-12
S63 Uniform Securities Agent State Law Examination 1993-04-13
  • S65 Uniform Investment Adviser Law Examination
    2004-04-12
  • S63 Uniform Securities Agent State Law Examination
    1993-04-13
Other Names
  • Samuel R Ayers

View on SEC IAPD

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