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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2023-05-01
TX RA APPROVED_RES 2017-12-18
UT RA APPROVED 2017-12-18
  • FL RA
    APPROVED
    Since 2023-05-01
  • TX RA
    APPROVED_RES
    Since 2017-12-18
  • UT RA
    APPROVED
    Since 2017-12-18

Branch Locations

101 E Kennedy Blvd, Tampa, FL 33602 • United States

Naples, FL • United States

Disclosures

2 disclosure categories 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Salt Lake City UT 05/2009 11/2016
Wells Fargo Clearing Services, Llc Salt Lake City UT 11/2016 12/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Salt Lake City UT 12/2017 Present
Bank Of America, N.A. Salt Lake City UT 05/2018 Present
Previous Registrations
  • 2003-07-01 → 2017-12-19
    Holladay, UT
    Salt Lake City, UT
    Salt Lake City, UT
    Ogden, UT
  • 2001-02-02 → 2003-07-01
    Prudential Equity Group, Llc
    Salt Lake City, UT
Other Businesses

I*3086271 Entity Type: Entity For Profit Name of OBA: LENS REAL ESTATE HOLDING CO, LLC Address: Naples, Florida, 34110 Investment Related: No Position, Title, Association: General Partner/Managing Member Employee Start Date: 09/17/2025 Number of Hours: 1, Monthly Number of Hours during trading: 0 Duties: Holding Personal real estate, i.e. our condo in Naples, FL and our townhome we are building in Ogden, UT none to speak of other than co-owning with my wife and any other duties that come with personal homeownership I*4401267 Entity Type: Fiduciary role Name of OBA: L. B. TTEE MRS N. M B. TTEE U/A DTD 04/27/2018 Address: Naples, Florida, 34110 Investment Related: No Position, Title, Association: Co-Trustee Employee Start Date: 04/13/2026 Number of Hours: 2, Weekly Number of Hours during trading: 0 Duties: Co-Trustee/Spouse I*4399278 Entity Type: Fiduciary role Name of OBA: L. & N. B. TTEE U/A DTD 04/27/2018 BY L. B. ET AL Address: Naples, Florida, 34110 Investment Related: No Position, Title, Association: Co-Trustee Employee Start Date: 04/13/2026 Number of Hours: 2, Weekly Number of Hours during trading: 0 Duties: Co-Trustee/Spouse

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-04-20
S63 Uniform Securities Agent State Law Examination 1993-04-12
  • S65 Uniform Investment Adviser Law Examination
    1993-04-20
  • S63 Uniform Securities Agent State Law Examination
    1993-04-12

View on SEC IAPD

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