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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_RES 2013-10-15
AK RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2013-10-15
  • AK RA
    APPROVED
    Since 2009-10-23

Branch Locations

3601 C St, Anchorage, AK 99503 • 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. Anchorage AK 07/2009 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Lincoln RI 10/2009 Present
Previous Registrations
  • 2009-08-28 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Anchorage, AK
    Lincoln, RI
    Seattle, WA
  • 2007-07-24 → 2009-04-28
    Banc Of America Investment Services, Inc.
    Northampton, MA
Other Businesses

I*424997 For profit or not for profit: Entity For Profit Name of outside business organization: Anchorage Project Access Investment related: Y Address of business: Anchorage, Alaska, 99508 Nature of business: ["Limited Liability Company"] Position, title, association: ["Board Member"], Start date of relationship: 11/3/2020 Number of hours devoted: 8 hour(s) Yearly Number of hours devoted during trading hours: 4 Duties: , APA is a non profit whose goal is to connect underserved and poor patients with medical care. They would like me to serve on the development committee. I am already approved to be on the finance committee, helping with business planning and oversight. rep

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-06-06
  • S66 Uniform Combined State Law Examination
    2006-06-06

View on SEC IAPD

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