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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2017-02-24
  • CA RA
    APPROVED
    Since 2017-02-24

Branch Locations

401 Union St, Seattle, WA 98101 • United States

4004 Kruse Way Place, Lake Oswego, OR 97035 • 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
Umpqua Bank Portland OR 05/2011 02/2017
Umpqua Investments, Inc. Portland OR 09/2015 02/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Portland OR 02/2017 Present
Bank Of America, N.A. Portland OR 03/2017 Present
Previous Registrations
  • 2015-09-08 → 2017-02-15
    Steward Partners Investment Solutions, Llc
    Portland, OR
  • 2011-06-21 → 2015-09-09
    Portland, OR
  • 2011-01-03 → 2011-05-19
    Portland, OR
  • 2010-03-15 → 2011-01-03
    Wells Fargo Investments, Llc
    Portland, OR
    Portland, OR
    Portland, OR
Other Businesses

I*103370 For profit or not for profit: For-Profit Organization Name of outside business organization: JCTT Investment related: N Address of business: St Paul, Oregon 97137 Nature of business: LLC, Position, title, association: Owner, Start date of relationship: 3/10/2008 Number of hours devoted: 10 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Hazelnut farm. Managing member of the LLC. Subject farm is a passive investment. Day to day operations are managed by other members. I*103372 For profit or not for profit: For-Profit Organization Name of outside business organization: Cobb Investment related: N Address of business: Salem, Oregon 97301 Nature of business: Other,Owned individually Position, title, association: Owner, Start date of relationship: 5/5/2003 Number of hours devoted: 10 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Rental property. Maintain property for renting. I*2153276, Entity Type: Fiduciary, Name of OBA: H D. C Trust, Address: West Linn, Oregon, 97068, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 01-Jan-2025, No Hours: 8 Monthly, No Hours during Trading: 0 Monthly, Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-03-13
  • S66 Uniform Combined State Law Examination
    2010-03-13
Other Names
  • Christian Erik Cobb

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