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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 2015-11-02
LA RA APPROVED 2015-07-08
MS RA APPROVED 2015-05-01
  • TX RA
    APPROVED
    Since 2015-11-02
  • LA RA
    APPROVED
    Since 2015-07-08
  • MS RA
    APPROVED
    Since 2015-05-01

Branch Locations

1809 Glenmar Ave, Monroe, LA 71201 • 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
College For Financial Planning Centennial CO 11/2013 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Monroe LA 04/2015 Present
Bank Of America, N.A. Monroe LA 06/2015 Present
Previous Registrations
  • 2014-10-10 → 2015-04-23
    Fpl Asset Management, Llc
    Monroe, LA
  • 2014-10-17 → 2015-03-24
    Fiduciary Investment Consultants, Llc
    Monroe, LA
Other Businesses

I*122139 For profit or not for profit: For-Profit Organization Name of outside business organization: Highland Heights LLC Investment related: N Address of business: West Monroe, Louisiana 71291 Nature of business: LLC, Position, title, association: Owner, Start date of relationship: 4/1/2019 Number of hours devoted: 4 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Highland Heights LLC is a family-owned LLC containing rental property which my spouse manages. I*2021319, Entity Type, Entity Charitable, Name of OBA: THE FIRST BAPTIST CHURCH OF WEST MONROE, LA, Address: West Monroe, LA, 71291, Investment Related: No, Position, Title, Association: Committee (Finance), Employee Start Date: 10/20/2024, No Hours: 2hrs/Mo, No Hours during trading: 0, Duties: They have asked me to voluntarily serve as a general member of the Finance Committee of the church. Will have no access to funds and will not be directing any investment activities. Role is to provide general guidance regarding budgets, spending, and future capital expenditures.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2015-07-07
S65 Uniform Investment Adviser Law Examination 2014-10-10
  • S63 Uniform Securities Agent State Law Examination
    2015-07-07
  • S65 Uniform Investment Adviser Law Examination
    2014-10-10

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