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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 2016-03-11
  • TX RA
    APPROVED
    Since 2016-03-11

Branch Locations

9595 Six Pines Dr, 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 Houston TX 03/2016 Present
Bank Of America, N.A. Houston TX 06/2016 Present
Previous Registrations
Other Businesses

I*455950 For profit or not for profit: Name of outside business organization: Costal Conservation Association Investment related: N Address of business: Houston, Texas, 77024 Nature of business: Position, title, association: , Start date of relationship: Number of hours devoted: hour(s) Number of hours devoted during trading hours: Duties: , CCA is a non-profit marine conservation organization, comprised of 17 coastal state, volunteer based, chapters. Northeast Houston chapter board members are responsible for helping facilitate the annual, volunteer member, fundraising banquet.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-08-10
  • S66 Uniform Combined State Law Examination
    2013-08-10

View on SEC IAPD

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