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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 2017-07-06
CA RA APPROVED 2016-11-16
  • TX RA
    APPROVED_RES
    Since 2017-07-06
  • CA RA
    APPROVED
    Since 2016-11-16

Branch Locations

2555-2595 W Chandler Blvd Ci Relationship Management, Chandler, AZ 85224 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • 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 Chandler AZ 05/2014 Present
Bank Of America, N.A. Chandler AZ 06/2017 Present
Other Businesses

I*1143350For profit or not for profit: Entity For ProfitName of outside business organization: Stem+CInvestment related: NoAddress of business: Gilbert, Arizona, 85298Nature of business: Limited Liability CompanyPosition, title, association: Consultant/Independent Contractor Start date of relationship: 1/14/2023Number of hours devoted: 6 hours MthlyNumber of hours devoted during trading hours: 0Duties: Stem education programs for High School/College Teachers and Students. Monthly training and education of scale remote control airplanes and drones. Stem+C is working with local educators and colleges stem programs to enhance their ability to teach students how to build design and use manned and unmanned aerial systems to encourage engineering and aeronautical industry employment and remote-control hobbyist interests. I*: 2249287Entity Type: For ProfitName of OBA: Ram Solutions (proposed name)Address: Gilbert, AZ 85234Investment Related: NoPosition, Title, Association: Consultant/Independent ContractorEmployee Start Date: 04/01/2025Number of Hours: 5 hrs wklyNumber of Hours during trading: 0Duties: Scheduling Freight Brokerage in USA for a few hours on weekends

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-11-15
  • S66 Uniform Combined State Law Examination
    2016-11-15
Other Names
  • James Sylvan Ausloos
  • James S Ausloos

View on SEC IAPD

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