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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 2023-04-17
  • TX RA
    APPROVED
    Since 2023-04-17

Branch Locations

607 W 3Rd St, Austin, TX 78701 • 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
Morgan Stanley Pasadena CA 06/2017 08/2017
Southwestern University Georgetown TX 01/2018 05/2018
Southwestern University Georgetown TX 08/2014 05/2018
Axa Advisors, Llc New York NY 07/2018 06/2020
Equitable Advisors, Llc New York NY 07/2018 03/2023
Merrill Lynch, Pierce, Fenner & Smith Incorporated Austin TX 03/2023 Present
Bank Of America, N.A. Austin TX 04/2023 Present
  • 06/2017 → 08/2017
    Morgan Stanley
    Pasadena, CA
  • 01/2018 → 05/2018
    Southwestern University
    Georgetown, TX
  • 08/2014 → 05/2018
    Southwestern University
    Georgetown, TX
  • 07/2018 → 06/2020
    Axa Advisors, Llc
    New York, NY
  • 07/2018 → 03/2023
    New York, NY
  • 03/2023 → Present
    Austin, TX
  • 04/2023 → Present
    Bank Of America, N.A.
    Austin, TX
Previous Registrations
Other Businesses

CURTO'S CUCINA; 2316 MONTCLAIRE ST, UNIT A, AUSTIN, TX 78704; FOUNDER AND PRESIDENT; START DATE 11/1/2022; APPROXIMATELY 5 HOURS PER MONTH.For profit or not for profit: For profitName of outside business organization: Curto's Cucina, LLCInvestment related: NoAddress of business:Austin, TX Nature of business: Retail, Food and BeverageCompensation for Activity (Yes/No only): YesPosition, title, associationPresident and FounderStart date of relationship: 03/2020Number of hours devoted: 4 hours per weekNumber of hours devoted during trading hours: 0Duties: Sales, Manufacturing, Distributing I*2667294, Entity Type: Entity For Profit, Name of OBA: C2Products, LLC, Address: Austin, Texas, 78704, Investment Related: N, Position, Title, Association: General Partner/Managing Member, Owner, Employee State Date: 06/24/2025, No Hours: 2 Weekly, No Hours during Trading: 0 Weekly, Duties: I spend less than 2 hours per week on managing an Amazon Seller account and product listing pages. To hold an LLC and attached business banking accounts to buy and sell products via Amazon for profit.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-09-20
S63 Uniform Securities Agent State Law Examination 2018-08-10
  • S66 Uniform Combined State Law Examination
    2019-09-20
  • S63 Uniform Securities Agent State Law Examination
    2018-08-10
Other Names
  • Curtis Cuccia

View on SEC IAPD

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