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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 2023-04-03
UT RA APPROVED 2023-04-03
  • TX RA
    APPROVED_RES
    Since 2023-04-03
  • UT RA
    APPROVED
    Since 2023-04-03

Branch Locations

2380 Washington Blvd, Ogden, UT 84401 • 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 No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Robert W. Baird & Co Salt Lake City UT 07/2014 07/2017
Raymond James & Associates Farmington UT 07/2017 03/2023
Snowbasin Resort Huntsville WA 12/2017 03/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated Ogden UT 03/2023 Present
Bank Of America N.A. Ogden UT 06/2023 Present
  • 07/2014 → 07/2017
    Robert W. Baird & Co
    Salt Lake City, UT
  • 07/2017 → 03/2023
    Raymond James & Associates
    Farmington, UT
  • 12/2017 → 03/2018
    Snowbasin Resort
    Huntsville, WA
  • 03/2023 → Present
    Ogden, UT
  • 06/2023 → Present
    Bank Of America N.A.
    Ogden, UT
Previous Registrations
Other Businesses

I*1244306For profit or not for profit: Name of outside business organization: Executive Adventures, LLCInvestment related: NAddress of business: , , Nature of business: Position, title, association: , Start date of relationship: Number of hours devoted: hour(s) Number of hours devoted during trading hours: Duties: , Work as a subcontractor on a 1099 basis for Executive Adventures, LLC. Duties include guiding big-game hunts for a licensed outfitter 4-5 days each fall on Snowbasin Resort property in Huntsville, UT. I*1244307For profit or not for profit: Entity For ProfitName of outside business organization: Quality GroundskeepingInvestment related: NAddress of business: Liberty, Utah, 84310Nature of business: ["Sole Proprietorship"]Position, title, association: ["Owner"], Start date of relationship: 6/1/2019Number of hours devoted: 5 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: , Small personal landscape maintenance business, providing jobs for my kids to do in our community evenings and weekends during the summer. I help the kids install bark mulch and do minor landscape cleanup jobs withing their abilities.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-09-16
  • S66 Uniform Combined State Law Examination
    2014-09-16
Other Names
  • Timothy V Ludlum

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