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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 2023-04-26
WA RA APPROVED 2023-04-07
  • TX RA
    APPROVED
    Since 2023-04-26
  • WA RA
    APPROVED
    Since 2023-04-07

Branch Locations

401 Union St, Seattle, WA 98101 • 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
Bank Of America Seattle WA 07/2019 03/2022
Associated Underwater Services Kenmore WA 01/2015 08/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated Seattle WA 04/2022 Present
Walsh Group Seattle WA 01/2018 05/2018
True-Blue Inc. Seattle WA 10/2018 01/2019
Extended Travel Krabi 11/2018 07/2019
Unemployed Seattle WA 08/2018 10/2018
Bank Of America N.A. Seattle WA 10/2022 Present
  • 07/2019 → 03/2022
    Bank Of America
    Seattle, WA
  • 01/2015 → 08/2018
    Associated Underwater Services
    Kenmore, WA
  • 04/2022 → Present
    Seattle, WA
  • 01/2018 → 05/2018
    Walsh Group
    Seattle, WA
  • 10/2018 → 01/2019
    True-Blue Inc.
    Seattle, WA
  • 11/2018 → 07/2019
    Extended Travel
    Krabi
  • 08/2018 → 10/2018
    Unemployed
    Seattle, WA
  • 10/2022 → Present
    Bank Of America N.A.
    Seattle, WA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-02-16
  • S66 Uniform Combined State Law Examination
    2023-02-16
Other Names
  • Caton Miguel K P Ross

View on SEC IAPD

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