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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2023-01-20
  • GA RA
    APPROVED
    Since 2023-01-20

Branch Locations

3455 Peachtree Rd Ne, Atlanta, GA 30326 • United States

620 S Tryon St, Charlotte, NC 28255 • 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 Atlanta GA 10/2005 Present
Other Businesses

I*1391338 For profit or not for profit: Entity Charitable Name of outside business organization: Latin American Association Investment related: N Address of business: Atlanta, Georgia, 30324, United States Nature of business: ["Charitable Organization"] Position, title, association: ["Board Member"], Start date of relationship: 9/1/2023 Number of hours devoted: 5 hour(s) Weekly Number of hours devoted during trading hours: 1 Duties: LAA serves the needs of immigrants from Latin America in metro Atlanta with a full spectrum of services and programs that help families adapt to their new country and integrate into the community. I am being considered for a 3 year board membership Board member responsibilities: establish major administration and other policies governing the affairs of the LAA and devise and plan measures for the LAA's growth and development; ?approve the organization's strategic plan; ?appoint and supervise the CEO of the LAA; ?approve proposals and budget requests to funding agencies; ?designate standing committees of the Board as needed; ?elect the new Board members; ?approve and authorize major contractual arrangements on behalf of the LAA;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-12-19
  • S66 Uniform Combined State Law Examination
    2022-12-19

View on SEC IAPD

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