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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2017-10-30
TX RA APPROVED_RES 2016-07-28
  • TN RA
    APPROVED
    Since 2017-10-30
  • TX RA
    APPROVED_RES
    Since 2016-07-28

Branch Locations

795 W Main St, Oak Ridge, TN 37830 • 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
Bank Of America, N.A. Palmdale CA 09/2015 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Palmdale CA 09/2015 Present
Previous Registrations
  • 2013-06-14 → 2013-12-31
    Lancaster, CA
  • 2011-01-03 → 2012-09-28
    Palmdale, CA
    Lynnwood, WA
    Seattle, WA
    Everett, WA
    Lake Stevens, WA
  • 2006-03-27 → 2011-01-03
    Wells Fargo Investments, Llc
    Palmdale, CA
    Palmdale, CA
    Palmdale, CA
    Palmdale, CA
Other Businesses

I*135389 For profit or not for profit: Non-Profit Organization Name of outside business organization: Jacob's Tent Investment related: N Address of business: Cleveland, Tennessee 37311 Nature of business: Charitable Organization, Position, title, association: Part-Time, Start date of relationship: 1/6/2021 Number of hours devoted: 8 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: This is a Church. I will be leading the youth group.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-03-24
  • S66 Uniform Combined State Law Examination
    2006-03-24

View on SEC IAPD

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