Randy Robert Rhodes

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	1997-07-08
TX	RA	APPROVED_RES	1992-08-10

CA RA
APPROVED

Since 1997-07-08
TX RA
APPROVED_RES

Since 1992-08-10

Branch Locations

Santa Monica, CA • United States

333 S Hope St, Los Angeles, CA 90071 • 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 Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Los Angeles	CA	09/1983	Present
Bank Of America,Na	Los Angeles	CA	09/2009	Present

09/1983 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Los Angeles, CA
09/2009 → Present

Bank Of America,Na

Los Angeles, CA

Other Businesses

I*69251 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: POA INVESTMENT RELATED: N ADDRESS OF BUSINESS: PACIFIC PALISADES, CALIFORNIA 90272 NATURE OF BUSINESS: OTHER,POA POSITION, TITLE, ASSOCIATION: FIDUCIARY, FRIEND START DATE OF RELATIONSHIP: 1/23/2014 NUMBER OF HOURS DEVOTED: 1 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: POA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-09-24
S63	Uniform Securities Agent State Law Examination	1987-08-26

S65 Uniform Investment Adviser Law Examination

1994-09-24
S63 Uniform Securities Agent State Law Examination

1987-08-26