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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 2009-01-07
HI RA APPROVED 1990-01-25
  • TX RA
    APPROVED_RES
    Since 2009-01-07
  • HI RA
    APPROVED
    Since 1990-01-25

Branch Locations

1003 Bishop St, Honolulu, HI 96813 • United States

Honolulu, HI • 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 Honolulu HI 12/1983 Present
Bank Of America, N.A. Honolulu HI 09/2011 Present
Other Businesses

I*8526 For profit or not for profit: Name of outside business organization: Grand Welcome Investment related: Address of business: Torrance, California 90505 Nature of business: , Position, title, association: , Start date of relationship: 10/10/2018 Number of hours devoted: 0 hour(s) Number of hours devoted during trading hours: 0 Duties: I*8585 For profit or not for profit: Name of outside business organization: Grand Welcome Investment related: Address of business: honolulu, Hawaii 96815 Nature of business: , Position, title, association: , Start date of relationship: 6/3/2019 Number of hours devoted: 1 hour(s) Number of hours devoted during trading hours: 0 Duties: I*1141304 For profit or not for profit: Name of outside business organization: Rental Property 4 Investment related: N Address of business: Honolulu, Hawaii, 96826 Nature of business: Position, title, association: Sole owner, Start date of relationship: 9/1/2022 Number of hours devoted: 2 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: , I*1142280 For profit or not for profit: Name of outside business organization: Rental Property 1 Investment related: N Address of business: Honolulu, Hawaii, 96816 Nature of business: Position, title, association: Sole owner, Start date of relationship: 9/1/2022 Number of hours devoted: 2 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: , I*1142281 For profit or not for profit: Name of outside business organization: Rental Property 2 Investment related: N Address of business: Honolulu, Hawaii, 96816 Nature of business: Position, title, association: Sole owner, Start date of relationship: 9/1/2022 Number of hours devoted: 2 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: , I*1142282 For profit or not for profit: Name of outside business organization: Rental Property 3 Investment related: N Address of business: Honolulu, Hawaii, 96816 Nature of business: Position, title, association: Sole owner, Start date of relationship: 9/1/2022 Number of hours devoted: 2 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: , I*1141305 For profit or not for profit: Name of outside business organization: Rental Property 4 Investment related: N Address of business: Honolulu, Hawaii, 96817 Nature of business: Position, title, association: Sole owner, Start date of relationship: 9/1/2022 Number of hours devoted: 2 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: ,

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1984-03-02
  • S63 Uniform Securities Agent State Law Examination
    1984-03-02
Other Names
  • Curtis Lau

View on SEC IAPD

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