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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 2003-06-23
WA RA APPROVED 1994-05-20
  • TX RA
    APPROVED_RES
    Since 2003-06-23
  • WA RA
    APPROVED
    Since 1994-05-20

Branch Locations

401 Union St, Seattle, WA 98101 • 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 Seattle WA 01/1994 Present
Bank Of America, N.A. Seattle WA 05/2011 Present
Other Businesses

1) I*71701 NON-PROFIT ORGANIZATION - E W AND B L ANDERSON LLC, SEATTLE, WASHINGTON 98112- INVESTMENT RLT'D - YES, HRS DEVOTED TO ACTIVITY - 5, HRS DURING TRADING - 0, DATE ACTIVITY BEGAN 01/03/05, POSITION - FAMILY HELD; MANAGER OF PARENTS LLC INVESTMENTS, ALL HELD AT MERRILL LYNCH. I*58855 For profit or not for profit: For-Profit Organization Name of outside business organization: G3VC Investment related: Y Address of business: Seattle, Washington 98112 Nature of business: LLC, Position, title, association: Family Held, Start date of relationship: 11/12/2012 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 1 Duties: Manager of Parents LLC for investments provided by Merrill Lynch. duties are to provide investment and also coordinate with ther CPA, and Estate Lawyer. 4)I*76742 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: ABL HOLDINGS LLC INVESTMENT RELATED: Y ADDRESS OF BUSINESS: SEATTLE, WASHINGTON 98112 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 11/6/2014 NUMBER OF HOURS DEVOTED: 1 HOUR(S) QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: LLC USED FOR PARENT GIFTING TO CHILDREN AND HOLDS TRADITIONAL STOCKS, BONDS AND MUTUAL FUNDS I*24178 For profit or not for profit: For-Profit Organization Name of outside business organization: anderson family partnership Address of business: Seattle, Washington 98112 Nature of business: Other,manager of investments Position, title, association: Family Held, Start date of relationship: 12:00:00 AM Number of hours devoted: 2 hour(s) Annually Number of hours devoted during trading hours: 1 Duties: General partner coordinating family partnership's investments I*2215375, Entity Type: , Name of OBA: E A Irrevocable Trust, Address: Seattle, Washington, 98112, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 31-Oct-2014, No Hours: 2 Yearly, No Hours during Trading: 0 Yearly, Duties: I*3162378, Entity Type, fiduciary role, Name of OBA:K A GST Trust, Address:Seattle,Washington,98112, Investment Related:no, Position, Title, Association: Successor Trustee,Employee Start Date:11/12/2025, No Hours:5 yearly, No Hours during trading:0 Duties: Successor Trustee

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-05-06
S63 Uniform Securities Agent State Law Examination 1994-04-19
  • S65 Uniform Investment Adviser Law Examination
    1994-05-06
  • S63 Uniform Securities Agent State Law Examination
    1994-04-19

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