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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 2001-03-13
WA RA APPROVED 1992-01-01
  • TX RA
    APPROVED_RES
    Since 2001-03-13
  • WA RA
    APPROVED
    Since 1992-01-01

Branch Locations

10400 Ne 4Th St, Bellevue, WA 98004 • United States

Disclosures

2 disclosure categories 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bellevue WA 06/1988 Present
Bank Of America, N.A. Bellelvue WA 03/2012 Present
Other Businesses

I*34965FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: DESTINATION ROSLYN RESORT, INC. DBA SUNCADIA VACATINVESTMENT RELATED: NADDRESS OF BUSINESS:CLE ELEM, WASHINGTON 98922NATURE OF BUSINESS: CORPORATION,POSITION, TITLE, ASSOCIATION: OTHER, THEY ARE THE RENTAL AGENT FOR USSTART DATE OF RELATIONSHIP: 2/5/2008NUMBER OF HOURS DEVOTED: 0 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: NONE, IN RENTAL MANAGEMENT AGREEMENT WITH THEM I*1492262For profit or not for profit: Name of outside business organization: Rental Property 1Investment related: NAddress of business: Prescott, Arizona, 86305, United StatesNature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 11/30/2023Number of hours devoted: 2 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: I*3547265, Entity Type: , Name of OBA: Rental Property 2, Address: Prescott, Arizona, 86305, Investment Related: N, Position, Title, Association: Co-owner with other family members, Employee Start Date: 03/01/2026, No Hours: 20 Yearly, No Hours during Trading: 0 Yearly, Duties: I*3547266, Entity Type: , Name of OBA: Rental Property 3, Address: Prescott, Arizona, 86305, Investment Related: N, Position, Title, Association: Co-owner with other family members, Employee Start Date: 02/01/2026, No Hours: 20 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-03-09
S63 Uniform Securities Agent State Law Examination 1987-08-06
  • S65 Uniform Investment Adviser Law Examination
    1994-03-09
  • S63 Uniform Securities Agent State Law Examination
    1987-08-06

View on SEC IAPD

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