Niva Samir Bhatt

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2015-09-15

TX RA
APPROVED

Since 2015-09-15

Branch Locations

Dallas, TX • United States

1100-1800 American Blvd Global Human Resources- The Academy, Pennington, NJ 08534 • United States

901 Main St, Dallas, TX 75202 • 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

Organization	City	State	From	To
Bank Of America, N.A.	Frisco	TX	09/2015	Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Frisco	TX	09/2015	Present

09/2015 → Present

Bank Of America, N.A.

Frisco, TX
09/2015 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Frisco, TX

Previous Registrations

2015-02-24 → 2015-09-08

Strategic Advisers Llc

Westlake, TX

Other Businesses

I*2456261, Entity Type: Entity For Profit, Name of OBA: Turro Car Rental, Address: Dallas, Texas, 75223, Investment Related: N, Position, Title, Association: Consultant/Independent Contractor, Employee State Date: 06/01/2025, No Hours: 2 Weekly, No Hours during Trading: 0 Weekly, Duties: Rent the car out for profit on the Turro platform I*3539265 Entity Type: Fiduciary role Name of OBA: POA for Blind/Disabled Sister Address: Houston, Texas, 77007 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 02/01/2026 Number of Hours: 5, Weekly Number of Hours during trading: 0 Duties: Power of Attorney/Sibling

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2014-05-19

S66 Uniform Combined State Law Examination

2014-05-19

View on SEC IAPD