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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2026-04-03
AK RA APPROVED 2026-04-02
NY RA APPROVED 2026-04-02
TX RA APPROVED 2026-04-02
  • FL RA
    APPROVED
    Since 2026-04-03
  • AK RA
    APPROVED
    Since 2026-04-02
  • NY RA
    APPROVED
    Since 2026-04-02
  • TX RA
    APPROVED
    Since 2026-04-02

Branch Locations

200 S Biscayne Blvd, Miami, FL 33131 • 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
Ubs Financial Services Inc. Miami FL 05/2016 04/2026
Merrill Lynch, Pierce, Fenner & Smith Incorporated Miami FL 04/2026 Present
Bank Of America, N.A. Miami FL 05/2026 Present
Previous Registrations
Other Businesses

I*401040, Entity Type Entity For Profit, Name of OBA: (REDACTED) LLC Address: new yorkNew York10003 Investment Related: No Position, Title, Association: Owner Employee Start Date: 08/05/2013 No Hours: 2 monthly No Hours during trading: 0 Duties: apartment rental I*: 4370270 Entity Type: For Profit Name: XX CROOKED HIGHWAY LLC Address: Miami, Florida Position: Owner Date started: 11/01/2017 Hours Devoted: 10 hrs annually Hours Devoted during trading hours: 1 hr annually Duties: Rent collection, property maintenance I*: 4370272 Entity Type: Rental Property Name: Rental Property 1 Position: Sole owner Start Date: 09/01/2020 Hours Devoted: 10 hrs annually Hours Devoted during trading hours: 1 hr annually Duties: landlord; collect rent

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-11-18
S63 Uniform Securities Agent State Law Examination 1995-08-28
  • S65 Uniform Investment Adviser Law Examination
    1997-11-18
  • S63 Uniform Securities Agent State Law Examination
    1995-08-28
Other Names
  • David L Warren

View on SEC IAPD

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