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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 2007-04-13
  • TX RA
    APPROVED
    Since 2007-04-13

Branch Locations

1780 Hughes Landing Blvd, The Woodlands, TX 77380 • United States

2800 Post Oak Blvd, Houston, TX 77056 • United States

Rosharon, TX • 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 Tulsa OK 11/1997 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Tulsa OK 11/1997 Present
Other Businesses

I*135437For profit or not for profit: For-Profit OrganizationName of outside business organization: Pearland New Harvest ChurchInvestment related: NAddress of business:Pearland, Texas 77584Nature of business: Other,501C3Position, title, association: Committee Member, Start date of relationship: 1/29/2021Number of hours devoted: 2 hour(s) QuarterlyNumber of hours devoted during trading hours: 0Duties: Pastor is asking me to be on the church Finance Committee I will not have any check signing capabilities - I will not have discussion about what should happen with the finances - they want 3 members of the church to review the budget I*1756257, Entity Type, Name of OBA:Rental Property 1, Address:Apopka, FL 32712, Investment Related: No, Position, Title, Association: Co-owner with other family members, Employee Start Date: 05/01/2024, No Hours: 0 yearly, No Hours during trading: 0, Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-09-17
S63 Uniform Securities Agent State Law Examination 2000-09-29
  • S66 Uniform Combined State Law Examination
    2004-09-17
  • S63 Uniform Securities Agent State Law Examination
    2000-09-29
Other Names
  • Paula M Lundy

View on SEC IAPD

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