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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 1995-01-11
  • TX RA
    APPROVED
    Since 1995-01-11

Branch Locations

3700 N Capital Of Texas Hwy, Austin, TX 78746 • 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
Merril Lynch Pierce Fenner & Smith Inc. Beaumont TX 06/1993 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Austin TX 03/1994 Present
Bank Of America,N.A. Austin TX 06/2011 Present
Other Businesses

I*94347For profit or not for profit: For-Profit OrganizationName of outside business organization: Cage Bomb Baseball Holdings, LLCInvestment related: NAddress of business:Seattle, Washington 98052Nature of business: LLC,Position, title, association: Owner, Start date of relationship: 10/1/2016Number of hours devoted: 12 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: I will be the co owner of a baseball training and retail facility located in the Seattle area.I*102359FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: VERITAS ACADEMYINVESTMENT RELATED: NADDRESS OF BUSINESS:AUSTIN, TEXAS 78709NATURE OF BUSINESS: CHARITABLE ORGANIZATION,POSITION, TITLE, ASSOCIATION: OTHER, COACHSTART DATE OF RELATIONSHIP: 2/13/2017NUMBER OF HOURS DEVOTED: 22 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: COACHING SON'S SCHOOL BASKETBALL TEAMI*559260For profit or not for profit: Entity For ProfitName of outside business organization: JAA Family LLCInvestment related: NAddress of business: Austin, Texas, 78739Nature of business: ["Limited Liability Company"]Position, title, association: ["Owner"], Start date of relationship: 10/21/2021Number of hours devoted: 2 hour(s) WeeklyNumber of hours devoted during trading hours: 0Duties: , Franchise OwnerI*1450266For profit or not for profit: Entity For ProfitName of outside business organization: Jaula Bomba BeisbolInvestment related: NAddress of business: Austin, Texas, 78739, United StatesNature of business: ["Limited Liability Company"]Position, title, association: ["Owner"], Start date of relationship: 11/1/2023Number of hours devoted: 2 hour(s) WeeklyNumber of hours devoted during trading hours: 0Duties: , Small BusinessI*424326 Name of OBA: The Kandler FoundationAddress: Austin Texas Related: Position, Title, Association: DirectorEmployee Start Date:10/19/2015 No Hours: yearlyNo Hours during trading: 0Duties: Director of a charitable foundation.I*1736273, Entity Type:Entity For Profit, Name of OBA:LACH Group LLC Address: Austin, TX 78739 Investment Related: No, Position, Title, Association: General Partner/Managing Member, Employee Start Date:01/23/24 No Hours: No Hours during trading: Duties:Partner; the business is a franchise the operates a baseball / softball academy. We provide lessons, cage rentals, pitching machines, retail sales, camps and classes.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-01-19
S63 Uniform Securities Agent State Law Examination 1995-01-10
  • S65 Uniform Investment Adviser Law Examination
    1995-01-19
  • S63 Uniform Securities Agent State Law Examination
    1995-01-10
Other Names
  • John A Ard
  • John Alexander Ard

View on SEC IAPD

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