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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 2009-01-13
CA RA APPROVED 2007-12-14
  • TX RA
    APPROVED
    Since 2009-01-13
  • CA RA
    APPROVED
    Since 2007-12-14

Branch Locations

16830 Ventura Blvd, Encino, CA 91436 • 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 Los Angeles CA 05/1987 Present
Other Businesses

I*101065 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: UBER INVESTMENT RELATED: N ADDRESS OF BUSINESS: SAN FRANCISCO, CALIFORNIA 94105 NATURE OF BUSINESS: CORPORATION, POSITION, TITLE, ASSOCIATION: PART-TIME, START DATE OF RELATIONSHIP: 1/3/2017 NUMBER OF HOURS DEVOTED: 80 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: DRIVER I*124511 For profit or not for profit: For-Profit Organization Name of outside business organization: HopSkipDrive Investment related: N Address of business: LOS ANGELES, California 90007 Nature of business: Corporation, Position, title, association: Part-Time, Start date of relationship: 8/1/2019 Number of hours devoted: 80 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: HopSkipDrive is a transportation network company that provides service to kids with operations in 6 metropolitan areas in the United States. It is aimed at children between the ages of 6 and 17 years who are legally restricted to use other transporta

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-12-10
S63 Uniform Securities Agent State Law Examination 2000-11-27
  • S66 Uniform Combined State Law Examination
    2007-12-10
  • S63 Uniform Securities Agent State Law Examination
    2000-11-27
Other Names
  • Shirley M Smith
  • Shirley Mia Smith
  • Mia Smith-Chalmers
  • Shirley Mia Smith-Chalmers

View on SEC IAPD

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