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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 2023-02-07
NE RA APPROVED 2023-02-06
  • TX RA
    APPROVED
    Since 2023-02-07
  • NE RA
    APPROVED
    Since 2023-02-06

Branch Locations

301 S 12Th St, Lincoln, NE 68508 • 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 Lincoln NE 09/2022 Present
Proteus Lincoln NE 09/2010 09/2022
Metropolitan Community College Omaha NE 03/2020 05/2022
Bank Of America, N.A. Lincoln NE 01/2023 Present
Other Businesses

Stars Sky Limited Co Focus area: consulting services related to sustainability efforts in Nebraska (Non-investment-related) Address: 3900 S 32nd PL Lincoln NE 68502 Position: co-owner Founded/start date: February of 2020 Expected hours: 0 Duty: My spouse and I founded Stars Sky Limited Co to provide consulting services related to sustainability efforts in Nebraska. However, this business has been on pause for a year. There are no foreseeable upcoming activities as we are both engaged in and focusing in our current careers. --- Proteus Focus area: software development Address: 7120 S 29th Street Suite 100 Lincoln, NE 68516 Position: Independent Contractor Start date: 10/2022 Expected hours: 10 per month with non hours during securities trading hours Duty: Assisting with answering any questions related to projects that I involved in before my resignation. I*1174267 For profit or not for profit: Name of outside business organization: Rental Property 1 Investment related: N Address of business: Grand Lake, Colorado, 80447 Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 6/1/2023 Number of hours devoted: 1 hour(s) Weekly Number of hours devoted during trading hours: 0 Duties: , General Notes: Family vacation home that will be rented out to family and friends occasionally. The property is mainly managed by and rental income if any goes to my father-in-law.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-02-03
  • S66 Uniform Combined State Law Examination
    2023-02-03
Other Names
  • Anh Dao Tran Pham
  • Dao Pham
  • Dao Starita
  • Anh Dao Pham
  • Anh P Starita

View on SEC IAPD

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