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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 2000-02-16
WA RA APPROVED 1990-01-01
  • TX RA
    APPROVED_RES
    Since 2000-02-16
  • WA RA
    APPROVED
    Since 1990-01-01

Branch Locations

1201 Pacific Ave, Tacoma, WA 98402 • 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 Tacoma WA 07/1981 Present
Bank Of America,N.A. Tacoma WA 06/2011 Present
Other Businesses

I*2218295, Entity Type: , Name of OBA: D A D, Address: Tacoma, Washington, 98407, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 27-Feb-2025, No Hours: 0 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-05-16
S63 Uniform Securities Agent State Law Examination 1982-07-28
  • S65 Uniform Investment Adviser Law Examination
    2000-05-16
  • S63 Uniform Securities Agent State Law Examination
    1982-07-28

View on SEC IAPD

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