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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 2001-01-25
UT RA APPROVED 1999-01-13
  • TX RA
    APPROVED_RES
    Since 2001-01-25
  • UT RA
    APPROVED
    Since 1999-01-13

Branch Locations

720 S River Rd, Saint George, UT 84790 • United States

St George, UT • 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 Saint George UT 10/1997 Present
Bank Of America, N.A. Saint George UT 02/2011 Present
Other Businesses

I*84812 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: VACATION RACES INVESTMENT RELATED: N ADDRESS OF BUSINESS: 1722 LINDSLEY PARK DRIVE, SAN MARCOS, CALIFORNIA 92069 NATURE OF BUSINESS: S-CORP, POSITION, TITLE, ASSOCIATION: PART-TIME, START DATE OF RELATIONSHIP: 42287 NUMBER OF HOURS DEVOTED: 120 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 32 DUTIES: VACATION RACES IS A FOR PROFIT COMPANY THAT PROMOTES HALF MARATHON RACES AT SEVERAL OF THE NATIONAL PARKS IN THE US. A PERSONAL FRIEND OF MINE (CO-OWNER) HAS ASKED ME TO HELP WITH 3-4 OF THESE OF THE MORE LOCAL RACES EACH YEAR. DUTIES INCLUDE: LABOR. I*88867 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: SOUTHERN UTAH TRIATHLON CLUB INVESTMENT RELATED: N ADDRESS OF BUSINESS: P.O. BOX 26, WASHINGTON, UTAH 84780 NATURE OF BUSINESS: OTHER, NON-PROFIT ORGANIZATION POSITION, TITLE, ASSOCIATION: OTHER, ELECTED CLUB PRESIDENT START DATE OF RELATIONSHIP: 42370 NUMBER OF HOURS DEVOTED: 6 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: SUTC IS A LOCAL TRIATHLON CLUB THAT PROMOTES THE SPORT OF TRIATHLON IN OUR AREA. PROPOSED RESPONSIBILITIES WILL BE CLUB PRESIDENT FOR A TWO YEAR PERIOD

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-10-15
S63 Uniform Securities Agent State Law Examination 1996-03-08
  • S65 Uniform Investment Adviser Law Examination
    1998-10-15
  • S63 Uniform Securities Agent State Law Examination
    1996-03-08

View on SEC IAPD

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