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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 2014-03-07
UT RA APPROVED 2014-02-18
  • TX RA
    APPROVED
    Since 2014-03-07
  • UT RA
    APPROVED
    Since 2014-02-18

Branch Locations

2380 Washington Blvd, Ogden, UT 84401 • 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 Ogden UT 06/2013 Present
Other Businesses

I*896263, Name of OBA: Richards Sign Company Address: Ogden, UT Investment Related: No Position, Title, Association: Consultant/Independent Contractor Employee Start Date:6/27/2022 No Hours: 8 Weekly No Hours during trading: 0 Duties: Richards Sign Company is a local business in Ogden UT which prints signs, banners, vinyl etc. I will be providing Richards Sign Company with printed products (t-shirts, tea towels etc.) to be sold on consignment at the brick and mortar location. I*4650287 Entity Type: For Profit Name of OBA: EMS Concessions LLC Address: Pleasant View, Utah, 84414 Investment Related: No Position, Title, Association: General Partner/Managing Member Employee Start Date: 06/02/2026 Number of Hours: 15, Weekly Number of Hours during trading: 0 Duties: Food truck Ownership and sales

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-02-17
  • S66 Uniform Combined State Law Examination
    2014-02-17

View on SEC IAPD

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