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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 2001-08-24
CO RA APPROVED 2000-04-14
  • TX RA
    APPROVED_RES
    Since 2001-08-24
  • CO RA
    APPROVED
    Since 2000-04-14

Branch Locations

301 E Hopkins Ave, Aspen, CO 81611 • 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 Aspen CO 04/1983 Present
Bank Of America, N.A. Aspen CO 05/2011 Present
Other Businesses

I*74674FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: POA INVESTMENT RELATED: NADDRESS OF BUSINESS: 650 PIONEER SPRINGS RANCH ROAD, ASPEN, 81611NATURE OF BUSINESS: OTHER,POAPOSITION, TITLE, ASSOCIATION: FIDUCIARY, START DATE OF RELATIONSHIP: 5/31/2013NUMBER OF HOURS DEVOTED: 1 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: POAI*99028FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: 25 JANSS LANEINVESTMENT RELATED: NADDRESS OF BUSINESS: ASPEN, COLORADO 81611NATURE OF BUSINESS: FAMILY BUSINESS,POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 12/6/2016NUMBER OF HOURS DEVOTED: 0 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: MY HUSBAND AND I ARE UNDER CONTRACT TO PURCHASE AN INVESTMENT PROPERTY. IT IS A SINGLE FAMILY HOME IN SNOWMASS COLORADO WHICH WE HOPE TO RENT OUT STARTING THIS WINTER SEASON. THE HOME WILL BE JOINTLY OWNED WITH MY HUSBAND. I*2856269 Entity Type: N/A Name of OBA: M.A.R. Address:Aspen Colorado Investment Related:No Position, Title, Association:Power of Attorney Start Date:09/12/2025 No Hours: 5 Yearly No Hours during trading:0 Yearly Duties:Power of Attorney for Child/Grandchild

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-08-25
S63 Uniform Securities Agent State Law Examination 1983-08-17
  • S65 Uniform Investment Adviser Law Examination
    1997-08-25
  • S63 Uniform Securities Agent State Law Examination
    1983-08-17
Other Names
  • Donna Marie Diianni

View on SEC IAPD

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