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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 2019-05-09
PA RA APPROVED 2015-01-15
CA RA APPROVED 2011-11-18
NJ RA APPROVED 2007-01-18
  • TX RA
    APPROVED
    Since 2019-05-09
  • PA RA
    APPROVED
    Since 2015-01-15
  • CA RA
    APPROVED
    Since 2011-11-18
  • NJ RA
    APPROVED
    Since 2007-01-18

Branch Locations

13355 Noel Rd, Dallas, TX 75240 • 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 09/2004 Present
Bank Of America, N.A. Dallas TX 05/2025 Present
Other Businesses

I*1519272For profit or not for profit: Entity For ProfitName of outside business organization: Miller 5 Ventures, LLCInvestment related: YAddress of business: Prosper, Texas, 75078, United StatesNature of business: ["Limited Liability Company"]Position, title, association: ["Officer","General Partner/Managing Member"], Start date of relationship: 10/13/2023Number of hours devoted: 2 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: , This is a holding company for purchase of rental properties. I*2606302, Entity Type non for profit, Name of OBA: Notre Dame Club of Dallas, TX Address: DallasTexas 75240 Investment Related: No Position, Title, Association: board member Employee Start Date: 07/21/2025 No Hours: 20 yearly No Hours during trading: 0 Duties: Strategic planning for events and programs for Dallas, Promote the brand of Notre Dame and connect alumni back to the University I*2605302, Entity Type for profit , Name of OBA: Irish Angles, Inc. Address: ChicagoIllinois60606 Investment Related: No Position, Title, Association: active investor Employee Start Date: 08/04/2025 No Hours:10 yearly No Hours during trading: 0 Duties: passive investing only. Only Notre Dame alumni can participate. Early stage investment only. No business or operating influence or activity.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-01-17
S65 Uniform Investment Adviser Law Examination 1996-07-25
S63 Uniform Securities Agent State Law Examination 1995-12-14
  • S66 Uniform Combined State Law Examination
    2007-01-17
  • S65 Uniform Investment Adviser Law Examination
    1996-07-25
  • S63 Uniform Securities Agent State Law Examination
    1995-12-14

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