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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-07-28
TX RA APPROVED_RES 2015-04-22
WA RA APPROVED 2009-10-23
  • CA RA
    APPROVED
    Since 2025-07-28
  • TX RA
    APPROVED_RES
    Since 2015-04-22
  • WA RA
    APPROVED
    Since 2009-10-23

Branch Locations

10400 Ne 4Th St, Bellevue, WA 98004 • United States

23655 N Scottsdale Rd, Scottsdale, AZ 85255 • 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, Pierce, Fenner & Smith Incorporated Bellevue WA 10/2009 Present
Bank Of America, N.A. Bellevue WA 07/2011 Present
Previous Registrations
Other Businesses

I*35147 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: WAILEA EKAHI 5A - CONDO INVESTMENT RELATED: ADDRESS OF BUSINESS: 3300 WAILEA ALANUI WAILEA HI 96753 NATURE OF BUSINESS: POSITION, TITLE, ASSOCIATION: OWNER START DATE OF RELATIONSHIP: 10/19/2010 NUMBER OF HOURS DEVOTED: 2 MONTHLY HOUR(S) NUMBER OF HOURS DEVOTED DURING TRADING HOURS: DUTIES: BOTH MYSELF AND THE CO-OWNER PLAN TO USE THE CONDO AS A SECOND HOME/VACATION HOME. WHEN WE AREN'T USING IT OURSELVES IT WILL BE OFFERED AS A VACATION RENTAL. WE WILL MANAGE THE RENTAL PROCESS OURSELVES WITH THE ASSISTANCE OF OUR WIVES. I*89715 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: WAILEA EKAHI 5D CONDO INVESTMENT RELATED: N ADDRESS OF BUSINESS: 3300 WAILEA ALANUI, #5D WAILEA, HAWAII 96753 NATURE OF BUSINESS: PARTNERSHIP, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 12/8/2015 NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: VACATION RENTAL CONDO

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-10-27
S63 Uniform Securities Agent State Law Examination 1994-10-20
  • S65 Uniform Investment Adviser Law Examination
    1994-10-27
  • S63 Uniform Securities Agent State Law Examination
    1994-10-20
Other Names
  • Mike Imler
  • Michael A Imler

View on SEC IAPD

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