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Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars
  • PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-11-11
  • TX RA
    APPROVED
    Since 2022-11-11

Branch Locations

800 Capitol St, Houston, TX 77002 • United States

One Bryant Park, New York, NY 10036 • 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 Houston TX 06/2022 Present
Competitive Gaming Association, Llc Houston TX 07/2020 04/2022
Cimbria Consulting, Llc Houston TX 08/2017 05/2020
Juniata College Huntingdon PA 08/2013 08/2017
Unemployed Houston TX 05/2020 07/2020
  • 06/2022 → Present
    Houston, TX
  • 07/2020 → 04/2022
    Competitive Gaming Association, Llc
    Houston, TX
  • 08/2017 → 05/2020
    Cimbria Consulting, Llc
    Houston, TX
  • 08/2013 → 08/2017
    Juniata College
    Huntingdon, PA
  • 05/2020 → 07/2020
    Unemployed
    Houston, TX
Other Businesses

I*: 2496332 Entity Type: For Profit Name of OBA: L Quinn Looper DBA PopUp Collectibles Address: Houston, TX 77055 Investment Related: No Position, Title, Association: Officer Employee Start Date: 05/30/2025 Number of Hours: 5 hrs wkly Number of Hours during trading: 0 Duties: The entity's purpose is to trade collectibles (primarily trading cards) as a hobby. I will be responsible for making all financial decisions including which collectibles to buy and which to sell.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-10-26
  • S66 Uniform Combined State Law Examination
    2022-10-26
Other Names
  • Lquinn Looper

View on SEC IAPD

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