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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2024-03-01
TX RA APPROVED 2022-04-06
  • PA RA
    APPROVED
    Since 2024-03-01
  • TX RA
    APPROVED
    Since 2022-04-06

Branch Locations

2100 Ross Ave, Dallas, TX 75201 • United States

Indiana, PA • 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 Dallas TX 03/2022 Present
Merrill Lynch Dallas TX 11/1994 03/2021
Retired Dallas TX 03/2021 02/2022
Bank Of America, N.A. Dallas TX 07/2022 Present
Previous Registrations
Other Businesses

I*88608 FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: W. RILEY MAYNARD PUBLISHING LLC INVESTMENT RELATED: N ADDRESS OF BUSINESS:DALLAS, TEXAS 75205 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 11/7/2014 NUMBER OF HOURS DEVOTED: 50 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: TRAVEL PHOTOGRAPHY . OWNER I*2026381 Entity Type: Charitable, Name of OBA: WEATHERFORD WAGS, Address: Weatherford, TX, 76087, Investment Related: No, Position, Title, Association: Director, Employee Start Date: 10/01/2024, No Hours: 12hrs/Ann, No Hours during trading: 1 Duties: THE EXECUTIVE DIRECTOR AND PRESIDENT OF THE ENTITY IS D. H.. I WILL BE AN ADVISOR TO D.. I WILL NOT BE A SIGNER ON ANY BANK ACCOUNTS OR AN INVESTMENT ADVISOR.THE PURPOSE OF THE ENTITY IS RESCUE OF DOGS AND CATS AND PLACING THEM FOR ADOPTION. I* 2869265 Entity Type: Fiduciary role Name of OBA: IRS FORM 2848 FOR M.J.G. Address: INDIANA Investment Related: No Position, Title, Association: Power of Attorney Start Date:09/15/2025No Hours: 10 Yearly No Hours during trading:1 Yearly Duties: Power of Attorney for In-Laws I*3063267 Entity Type: Fiduciary role Name of OBA:MR W.R.M. TTEE U/A DTD 09/11/2009 BY A.M. Address: DALLAS Texas Investment Related: No Position, Title, Association: Administrator Start Date:10/23/2025No Hours: 1 Yearly No Hours during trading:1 Yearly Duties: Administrator for Niece I*3279288 Entity Type: Fiduciary role Name of OBA: LAST WILL AND TESTEAMENT OF A M F Address: DALLAS, Texas, 75206 Investment Related: No Position, Title, Association: Employee Start Date: 12/04/2025 Number of Hours: 3, Yearly Number of Hours during trading: 1, Yearly Duties: ESTATE OF MY SISTER; A. M. F. EXECUTOR I*3095277, Entity Type: , Name of OBA: W M TTEE U/A 09/11/2009 BY A M F, Address: DALLAS, Texas, 75206, Investment Related: N, Position, Title, Association: Trustee, Employee Start Date: 10/28/2025, No Hours: 1 Yearly, No Hours during Trading: 1 Yearly, Duties: I*3095278, Entity Type: , Name of OBA: C P TRUST, Address: DALLAS, Texas, 75206, Investment Related: N, Position, Title, Association: Trustee, Employee Start Date: 10/28/2025, No Hours: 1 Yearly, No Hours during Trading: 1 Yearly, Duties: I*3095279, Entity Type: , Name of OBA: E N P TRUST, Address: DALLAS, Texas, 75206, Investment Related: N, Position, Title, Association: Trustee, Employee Start Date: 10/28/2025, No Hours: 1 Yearly, No Hours during Trading: 1 Yearly, Duties: I*3095280, Entity Type: , Name of OBA: L M F TRUST, Address: DALLAS, Texas, 75206, Investment Related: N, Position, Title, Association: Trustee, Employee Start Date: 10/28/2025, No Hours: 1 Yearly, No Hours during Trading: 1 Yearly, Duties: I*3097271, Entity Type: , Name of OBA: K P TRUST, Address: DALLAS, Texas, 75206, Investment Related: N, Position, Title, Association: Trustee, Employee Start Date: 10/28/2025, No Hours: 1 Yearly, No Hours during Trading: 1 Yearly, Duties: I*3097274, Entity Type: , Name of OBA: S P TRUST, Address: DALLAS, Texas, 75206, Investment Related: N, Position, Title, Association: Trustee, Employee Start Date: 10/28/2025, No Hours: 1 Yearly, No Hours during Trading: 1 Yearly, Duties: I*4356265, Entity Type: , Name of OBA: MR W R M TTEE U/A DTD 09/28/2025 BY A M F , Address: DALLAS, Texas, 75206, Investment Related: N, Position, Title, Association: Trustee, Employee Start Date: 04/08/2026, No Hours: 15 Yearly, No Hours during Trading: 15 Yearly, Duties:

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-03-14
S63 Uniform Securities Agent State Law Examination 1995-02-17
  • S65 Uniform Investment Adviser Law Examination
    1995-03-14
  • S63 Uniform Securities Agent State Law Examination
    1995-02-17
Other Names
  • Wayne R Maynard

View on SEC IAPD

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