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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
AR RA APPROVED 2018-08-06
TX RA APPROVED 2011-11-21
  • AR RA
    APPROVED
    Since 2018-08-06
  • TX RA
    APPROVED
    Since 2011-11-21

Branch Locations

7680 Girard Ave Global Human Resources- The Academy, La Jolla, CA 92037 • United States

5001 W Founders Way, Rogers, AR 72758 • 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 Austin TX 11/2011 Present
Bank Of America, N.A. Austin TX 11/2011 Present
Previous Registrations
  • 2009-02-25 → 2010-12-02
    Austin, TX
    Round Rock, TX
    St Louis, MO
    Austin, TX
Other Businesses

I*8770 For profit or not for profit: Name of outside business organization: Guest Room Investment related: Address of business: Fayetteville, Arkansas 72703 Nature of business: , Position, title, association: , Start date of relationship: 8/23/2019 Number of hours devoted: 2 hour(s) Number of hours devoted during trading hours: 0 Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-02-13
  • S66 Uniform Combined State Law Examination
    2009-02-13

View on SEC IAPD

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