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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2025-02-04
TX RA APPROVED_RES 2009-07-22
CO RA APPROVED 2009-07-08
  • IN RA
    APPROVED
    Since 2025-02-04
  • TX RA
    APPROVED_RES
    Since 2009-07-22
  • CO RA
    APPROVED
    Since 2009-07-08

Branch Locations

123 N 7Th St, Grand Junction, CO 81501 • United States

Grand Junction, CO • 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 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 Grand Junction CO 07/2009 Present
Bank Of America, N.A. Grand Junction CO 07/2011 Present
Previous Registrations
Other Businesses

I*1982271, Entity Type Entity Charitable, Name of OBA: Grand Junction Sports Historical Society Address: Grand JunctionColorado81506 Investment Related: No Position, Title, Association: Director Employee Start Date: 09/01/2024No Hours: 5 monthly No Hours during trading: 2 monthly Duties: 501c3 that is dedicated to preserve the stories and legacy of Western Colorado Sports My role is determine the stories and help facilitate the interviews and maintain the facebook page

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-09-08
  • S66 Uniform Combined State Law Examination
    2006-09-08

View on SEC IAPD

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