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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 2007-04-10
OH RA APPROVED 1999-08-09
  • TX RA
    APPROVED_RES
    Since 2007-04-10
  • OH RA
    APPROVED
    Since 1999-08-09

Branch Locations

5905 E Galbraith Rd, Cincinnati, OH 45236 • 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 Cincinnati OH 06/1993 Present
Bank Of America, Na Cincinnati OH 04/2010 Present
Other Businesses

I*27099 For profit or not for profit: For-Profit Organization Name of outside business organization: Eastgate Splash & Dash LLC Investment related: N Address of business: batavia, Ohio 45103 Nature of business: LLC, Position, title, association: Fiduciary, Start date of relationship: 7/29/2002 Number of hours devoted: 40 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: OWNER OWNER OPERATOR OF SELFSERVICE AUTO WASH FOR PROFIT OR NOT FOR PROFIT: FOR PROFIT NAME OF OUTSIDE BUSINESS ORGANIZATION : RENTAL HOUSE INVESTMENT RELATED: N ADDRESS OF BUSINESS: BATAVIA, OH 45103 NATURE OF BUSINESS: LLC POSITION, TITLE, ASSOCIATION: OWNER START DATE OF RELATIONSHIP: 03/29/2012 NUMBER OF HOURS DEVOTED PER MONTH: 2 MONTHLY NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS: 0 DUTIES SINGLE FAMILY RENTAL HOUSE I*73310 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: P & C LONESTAR INVESTMENT RELATED: N ADDRESS OF BUSINESS: AUSTIN, TEXAS 78660 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: PART-TIME, START DATE OF RELATIONSHIP: 6/30/2014 NUMBER OF HOURS DEVOTED: 3 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: SINGLE FAMILY RENTALS KNOWLEDGE I*111976 For profit or not for profit: For-Profit Organization Name of outside business organization: JACO LLC Investment related: N Address of business: Batavia, Ohio 45103 Nature of business: LLC, Position, title, association: Participant, Start date of relationship: 2/5/2018 Number of hours devoted: 3 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Management of Property I*6442 For profit or not for profit: Name of outside business organization: Robert Coleman Investment related: Address of business: Batavia, Ohio 45103 Nature of business: Rental Property Position, title, association: , Start date of relationship: 6/7/2018 Number of hours devoted: 2 hour(s) Number of hours devoted during trading hours: 0 Duties: I*115988 For profit or not for profit: For-Profit Organization Name of outside business organization: jc llc Investment related: N Address of business: batavia, Ohio 45103 Nature of business: LLC, Position, title, association: Limited Partner, Start date of relationship: 7/18/2018 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: rehab and rent homes I*6620 For profit or not for profit: Name: 973 Investment related: Address of business: Batavia, Ohio 45103 Nature of business: Position, title, association: , Start date of relationship: 7/18/2018 Number of hours devoted: 2 hour(s) Number of hrs during trading hours: 0 Duties:

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-08-31
S63 Uniform Securities Agent State Law Examination 1993-08-30
  • S65 Uniform Investment Adviser Law Examination
    1993-08-31
  • S63 Uniform Securities Agent State Law Examination
    1993-08-30
Other Names
  • Robbie Coleman
  • Robert C Coleman

View on SEC IAPD

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