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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 2008-11-07
  • TX RA
    APPROVED
    Since 2008-11-07

Branch Locations

6950 Tpc Dr, Mckinney, TX 75070 • 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 Mckinney TX 11/2008 Present
Bank Of America,N.A. Mckinney TX 06/2011 Present
Previous Registrations
Other Businesses

I*: 2297286Entity Type: Fiduciary roleName of OBA: MLPF& S CUST FPO IRA FBO C. S.Address: Van Alstyne, TX 75495Investment Related: NoPosition, Title, Association: POA Employee Start Date: 03/27/2025Number of Hours: 2 hrs mthlyNumber of Hours during trading: 2 hrs mthly Duties: POA for mother I*: 2295293Entity Type: Fiduciary roleName of OBA: C. and J. S.Address: Van Alstyne, TX 75495Investment Related: NoPosition, Title, Association: POAEmployee Start Date: 03/27/2025Number of Hours: 2 hrs mthlyNumber of Hours during trading: 2 hrs mthly Duties: POA for parents I*: 2405284Entity Type: Fiduciary roleName of OBA: MLPF& S CUST FPO RRA FBO J. S.Address: Van Alstyne, TX 75495Investment Related: NoPosition, Title, Association: POAEmployee Start Date: 04/08/2025Number of Hours: 1 hr mthlyNumber of Hours during trading: 0Duties: POA for father I*4759281, Entity Type: , Name of OBA: MLPF& S CUST FPO J S IRA FBO J S, Address: FRISCO, Texas, 75035, Investment Related: N, Position, Title, Association: Power of Attorney, Employee Start Date: 06/25/2026, No Hours: 10 Monthly, No Hours during Trading: 1 Monthly, Duties: I*4759282, Entity Type: , Name of OBA: MLPF& S CUST FPO J S IRA FBO J S, Address: FRISCO, Texas, 75035, Investment Related: N, Position, Title, Association: Power of Attorney, Employee Start Date: 06/25/2026, No Hours: 12 Monthly, No Hours during Trading: 1 Monthly, Duties:

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-02-22
S63 Uniform Securities Agent State Law Examination 1994-02-10
  • S65 Uniform Investment Adviser Law Examination
    1994-02-22
  • S63 Uniform Securities Agent State Law Examination
    1994-02-10

View on SEC IAPD

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