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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_RES 2023-05-22
CA RA APPROVED 2023-04-10
  • TX RA
    APPROVED_RES
    Since 2023-05-22
  • CA RA
    APPROVED
    Since 2023-04-10

Branch Locations

2555-2595 W Chandler Blvd Ci Relationship Management, Chandler, AZ 85224 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • 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 Chandler AZ 09/2022 Present
Farmers Insurance Group Scottsdale AZ 01/2019 09/2022
Tommy Bahama Restaurant Scottsdale AZ 11/2018 11/2019
Scottsdale Communtiy College Scottsdale AZ 08/2016 12/2017
Unemployed Scottsdale AZ 12/2017 01/2018
International Cruise And Excursions Scottsdale AZ 01/2018 11/2018
Bank Of America, N.A. Chandler AZ 12/2024 Present
  • 09/2022 → Present
    Chandler, AZ
  • 01/2019 → 09/2022
    Farmers Insurance Group
    Scottsdale, AZ
  • 11/2018 → 11/2019
    Tommy Bahama Restaurant
    Scottsdale, AZ
  • 08/2016 → 12/2017
    Scottsdale Communtiy College
    Scottsdale, AZ
  • 12/2017 → 01/2018
    Unemployed
    Scottsdale, AZ
  • 01/2018 → 11/2018
    International Cruise And Excursions
    Scottsdale, AZ
  • 12/2024 → Present
    Bank Of America, N.A.
    Chandler, AZ
Other Businesses

I*1806270, Entity Type: Entity Not for Profit, Name of OBA: Moon Lvnding, Address: Scottsdale,Arizona 85260, Investment Related: N, Position, Title, Association: Photographer, Employee Start Date: 04/23/2024, No Hours: 0, No Hours during trading: 0, Duties: Photographer for big venue concerts

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-04-03
  • S66 Uniform Combined State Law Examination
    2023-04-03

View on SEC IAPD

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