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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 2006-03-10
  • TX RA
    APPROVED
    Since 2006-03-10

Branch Locations

1780 Hughes Landing Blvd, The Woodlands, TX 77380 • 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 The Woodlands TX 11/2005 Present
Bank Of America, Na The Woodlands TX 09/2009 Present
Other Businesses

I*83810 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: LEGACY CREEK RANCH, LLC INVESTMENT RELATED: Y ADDRESS OF BUSINESS: SPRING, TEXAS 77379 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 5/4/2015 NUMBER OF HOURS DEVOTED: 8 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THIS IS A PASS-THROUGH ENTITY OWNED 100% BY ME AND MY WIFE FOR THE PURPOSE OF HOLDING RURAL PROPERTY.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-03-09
  • S66 Uniform Combined State Law Examination
    2006-03-09

View on SEC IAPD

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