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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 2012-11-16
  • TX RA
    APPROVED
    Since 2012-11-16

Branch Locations

1509 Emerald Pkwy, College Station, TX 77845 • 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 College Station TX 11/2012 Present
Bank Of America, N.A. College Station TX 01/2013 Present
Previous Registrations
  • 2003-01-02 → 2012-12-12
    Houston, TX
    College Station, TX
    Brenham, TX
    College Station, TX
  • 1983-08-23 → 2003-01-14
    Morgan Stanley Dw Inc.
    Bryan, TX
Other Businesses

I*413020, Entity Type: Entity For Profit, Name of OBA: ARP Family Investments, Address: Bryan, Texas 77802, Investment Related: Y, Position, Title, Association: Other, Employee Start Date: 09/16/2008, No Hours: 2, No Hours during trading: 0, Duties: My Family partnership-Checking Account

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-11-17
S63 Uniform Securities Agent State Law Examination 1982-03-03
  • S65 Uniform Investment Adviser Law Examination
    1995-11-17
  • S63 Uniform Securities Agent State Law Examination
    1982-03-03

View on SEC IAPD

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