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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
NV RA APPROVED 2022-02-09
GA RA APPROVED 2014-04-16
TX RA APPROVED_RES 2014-02-18
  • NV RA
    APPROVED
    Since 2022-02-09
  • GA RA
    APPROVED
    Since 2014-04-16
  • TX RA
    APPROVED_RES
    Since 2014-02-18

Branch Locations

400 S Rampart Blvd Mlwm Executive Osj, Las Vegas, NV 89145 • 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 Atlanta GA 01/2014 Present
Previous Registrations
Other Businesses

I*521252For profit or not for profit: For Profit Name of outside business organization: Chop Shop LLC Investment related: Yes Address of business: Park City, Utah, 84098Nature of business: ["Limited Liability Company"]Position, title, association: ["Other"], Start date of relationship: 9/17/2021Number of hours devoted: 0 Number of hours devoted during trading hours: 0Duties: Minority investor holding a 28% interest in the business. Butcher shop and restaurant in Park City, Utah. I am asking permission to be a minority investor in the business. I have no responsibilities beyond being a passive investor. I*1147261For profit or not for profit: Name of outside business organization: River Gorge Ranch Investment related: No Address of business: Nature of business: Position, title, association: , Start date of relationship: Number of hours devoted: hour(s) Number of hours devoted during trading hours: Duties: , Partner investor in raw land being developed in Tennessee. I am passive in all activities and am only providing capital. This land is being developed by a developer who has completed several other projects in the state of Tennessee. I*2001326 Entity SRO Name of OBA: FINRA Address: Washington, District of Columbia, 10281 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 09/18/2024 No Hours: 4 No Hours during trading: 0 Duties: Responsible for the overall management and administration of FINRA. The board members are not involved in the day-to-day operations of FINRA

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-04-15
S63 Uniform Securities Agent State Law Examination 1994-07-20
  • S65 Uniform Investment Adviser Law Examination
    2014-04-15
  • S63 Uniform Securities Agent State Law Examination
    1994-07-20
Other Names
  • Eric A Schimpf
  • Eric Anderson Schimpf

View on SEC IAPD

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