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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 1996-01-09
WA RA APPROVED 1995-01-25
  • TX RA
    APPROVED_RES
    Since 1996-01-09
  • WA RA
    APPROVED
    Since 1995-01-25

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 09/1994 Present
Bank Of America, N.A. Seattle WA 06/2011 Present
Other Businesses

I*24997 FOR-PROFIT NAME: H. INVESTMENTS LLC INVSTMNT RLTD: YES ADDRESS: SEATTLE, WA 98105 POSITION: FAMILY HELD, START DATE: 10/1/03 HOURS DEVOTED: 5 HRS MTHLY HOURS DEVOTED DURING TRADING: 0 DUTIES: CO-MANAGER, MY COUSIN AND I MAKE DISTRIBUTION AND INVESTMENT DECISIONS. I*135302 For-Profit Name: Continenal MIlls Investment related: No Address: Tukwila, WA 98188 Position: Committee Member Start date: 1/21/21 Hours devoted: 3 Annually Hours devoted during trading hours: 0 Duties: I am on the board already. I have been asked to join the governance and compensation committees and to chair the governance committee. I*25000 FOR-PROFIT NAME: H. FAMILY LLC INVSTMNT RLTD: NO ADDRESS: SEATTLE, WA 98112 POSITION: LIMITED PARTNER START DATE: HOURS DEVOTED: 1 HR ANNUALLY HOURS DEVOTED DURING TRADING HOURS: 1 DUTIES: LTD.PARTNER I*132385 For-Profit Organization Name: GoLo 44, LLC Investment related: No Address: Seattle, WA 98105 Position: Family Held, Start date: 7/1/20 Hours devoted: 1 hr Annually Hours devoted during trading: 0 Duties: Estate planning LLC. My wife and I own 5% and my kids own 95%. Just public investments, at least for now. I*132384 For-Profit Organization Name: Box Car Chutes LLC Investment related: No Address: Seattle, WA 98105 Position: Family Held, Start date of relationship: 7/1/20 Hours devoted: 1 hr Annually Hours devoted during trading: 0 Duties: Estate planning LLC. My wife and I own 5% and my kids own 95%. Just public investments, at least for now. I*68075 For-Profit Organization Name: Continental Mills Investment related: No Address: Tukwila, WA 98188 Position: Director Start date: 6/17/2013 Hours devoted: 2 hrs Qrtly Hours devoted during trading: 1 hr Duties: Family business. Mom & uncle want me on the board I*1333301 Not For profit Name: Seattle Golf Club Investment related: No Address of business: Position: Committee member Start date of relationship: Number of hours devoted: ho) Number of hrs devoted during trading: Duties: Foundation Committee for the Seattle Golf Club. The board gives recommendations of how to spend the club's Foundation account and we approve or decline. Examples of requests include new flowers, new tee markers and new sprinkler heads I*2506279, Entity Type: Fiduciary role Name: Estate of T H, Address: Seattle, WA 98105, Investment Related: No, Position: Executor, Employee State Date: 06/02/25, No Hours: 20 Yearly, No Hours during Trading: 10 Yearly, Duties: Executor I*3322273, Entity Type: , Name of OBA: H Family Living Trust, Address: Seattle, WA 98105, Investment Related: N, Position, Title, Association: Trustee, Employee Start Date: 12/18/2025, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties: Trustee I*3996268Entity Type: Fiduciary roleName of OBA: J. P H. Marital Trust Address: Seattle, WA 98105Investment Related: NoPosition: Co-Trustee Start Date: 03/16/2026 Hours: 1, Yearly Hours during trading: 0 Duties: Co-Trustee/Siblings I*3996267Entity Type: For Profit Name of OBA: H. Limited Partnership Address: Seattle, WA 98105 Investment Related: No Position: General Partner/Managing MemberEmployee Start Date: 03/16/2026 Number of Hours: 2, YearlyNumber of Hours during trading: 0, Yearly Duties: Family investments Managing Partner. I am my Mom's executor. She was the managing partner. We need to transfer her interest to my siblings and me. The attorney recommended I be the managing partner for now and then to have a family vote after her ownership interest is transferred.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-12-08
S63 Uniform Securities Agent State Law Examination 1994-11-30
  • S65 Uniform Investment Adviser Law Examination
    1994-12-08
  • S63 Uniform Securities Agent State Law Examination
    1994-11-30
Other Names
  • Stephen J Hollomon
  • Stephen James Hollomon

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