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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 2023-05-30
CA RA APPROVED 2023-05-04
  • TX RA
    APPROVED_RES
    Since 2023-05-30
  • CA RA
    APPROVED
    Since 2023-05-04

Branch Locations

198 N Alma School Rd, 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 No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Tempe AZ 07/2019 Present
Bank Of America N.A. Tempe AZ 07/2019 Present
Right Honda Scottsdale AZ 11/2016 01/2019
International Cruise & Excursions Scottsdale AZ 03/2015 09/2016
Sands Resort Pompano Beach FL 06/2019 06/2019
Mindbody Glendale AZ 02/2019 04/2019
  • 07/2019 → Present
    Tempe, AZ
  • 07/2019 → Present
    Bank Of America N.A.
    Tempe, AZ
  • 11/2016 → 01/2019
    Right Honda
    Scottsdale, AZ
  • 03/2015 → 09/2016
    International Cruise & Excursions
    Scottsdale, AZ
  • 06/2019 → 06/2019
    Sands Resort
    Pompano Beach, FL
  • 02/2019 → 04/2019
    Mindbody
    Glendale, AZ
Other Businesses

I*3113281 Entity Type: Entity For Profit Name of OBA: Streaming Address: Phoenix, Arizona, 85004 Investment Related: No Position, Title, Association: Consultant/Independent Contractor Employee Start Date: 11/15/2025 Number of Hours: 15, Weekly Number of Hours during trading: 0, Weekly Duties: Streaming video game content Streaming online through youtube and twitch and posting content to instagram, youtube, twitch and tik tok. It will be just playing different video games online and creating content. This is just a hobby but there is potential to earn income from this in the future.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-05-03
  • S66 Uniform Combined State Law Examination
    2023-05-03
Other Names
  • Nick Ott
  • Nick B Ott

View on SEC IAPD

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