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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 2006-07-20
  • TX RA
    APPROVED
    Since 2006-07-20

Branch Locations

800 Capitol St, Houston, TX 77002 • 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 : 7691 Houston TX 04/2006 Present
Bank Of America, N.A. Houston TX 05/2011 Present
  • 04/2006 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
    Houston, TX
  • 05/2011 → Present
    Bank Of America, N.A.
    Houston, TX
Other Businesses

I*3967267, Entity Type, Name of OBA: Finish Line Advisors Address: AnnapolisMaryland21401 Investment Related: No Position, Title, Association: Volunteer membership Employee Start Date: 05/16/2026 No Hours: 16 yearly No Hours during trading: 4 yearly Duties: We will connect once a year via Teams and once a year in-person. The main focus is discussion, community building and holding one another accountable. It's a community of like-minded Christian advisors holding one another accountable to their respective finish line pledges (an advisor agrees to live at a certain level of income and donate the rest to charity. The charities are not pre-selected and whichever charities one chooses is outside the scope of the community. It's more about living a lifestyle of stewardship. Some advisors may seek listing on the website but I have elected not to do that. I*4645271, Entity Type: Entity Charitable, Name of OBA: Houston ISD Foundation, Address: Houston, Texas, 77092, Investment Related: N, Position, Title, Association: Board Member, Employee Start Date: 07/01/2026, No Hours: 20 Yearly, No Hours during Trading: 15 Yearly, Duties: Board of director member at-large, Supports the Houston ISD through grants, programs and events.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-07-19
  • S66 Uniform Combined State Law Examination
    2006-07-19

View on SEC IAPD

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