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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2015-06-29
TX RA APPROVED 2015-06-29
IN RA APPROVED 2015-05-14
  • KY RA
    APPROVED
    Since 2015-06-29
  • TX RA
    APPROVED
    Since 2015-06-29
  • IN RA
    APPROVED
    Since 2015-05-14

Branch Locations

101 Bullitt Ln, Louisville, KY 40222 • 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 Louisville KY 02/2014 Present
Bank Of America, N.A. Louisville KY 05/2015 Present
Other Businesses

I*92161FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: :LOUISVILLE COMMUNITY FOUNDATIONINVESTMENT RELATED: NADDRESS OF BUSINESS:LOUISVILLE, KENTUCKY 40202NATURE OF BUSINESS: CHARITABLE ORGANIZATION,POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 3/29/2016NUMBER OF HOURS DEVOTED: 0 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: THIS IS A CHARITABLE ORGANIZATION THAT MY FAMILY GIVES TO. WE GIVE TO THEM, AND THEY ALLOW US TO DIRECT THE MONEY FROM THERE. WE HAVE A FUND IN OUR NAME IN WHICH WE ARE ON THE BOARD OF. I*3354For profit or not for profit: Governmental or Public Purpose EntityName of outside business organization: Georgetown Fire Protection DistrictInvestment related: Address of business: Georgetown, Indiana 47122Nature of business: Fire protection,Compensation for Activity: Position, title, association: Board member, Start date of relationship: 2/4/2020Number of hours devoted: 2 hour(s) QuarterlyNumber of hours devoted during trading hours: 0Duties: Board seat open, directorship. " I*2209266, Entity Type: , Name of OBA: R T T PLEDGED TO ML LENDER , Address: Floyd's Knobs, Indiana, 47119, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 19-Feb-2025, No Hours: 1 Yearly, No Hours during Trading: 1 Yearly, Duties: I*, 2707267Entity Type: Entity For Profit,Entity Publicly TradedName of OBA: UberAddress: San Francisco, California 94158Investment Related: NoPosition, Title, Association: Consultant/Independent ContractorEmployee Start Date: 08/08/2025No Hours: 4 hours per weekNo Hours during trading: 0 Duties: To deliver things and drive people from place to place. I*2692298, Entity Type: , Name of OBA: Knob Hill Homeowner's Association, Address: Georgetown, Indiana, 47122, Investment Related: N, Position, Title, Association: Officer, Employee State Date: 08/18/2025, No Hours: 2 Monthly, No Hours during Trading: 0 Monthly, Duties: Running HOA meetings an voting on matters related to the neighborhood. Home Owner's Association

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-05-13
  • S66 Uniform Combined State Law Examination
    2015-05-13
Other Names
  • Edward Thomas

View on SEC IAPD

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