Austin Fleet

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2017-11-28
CA	RA	APPROVED	2017-11-07

TX RA
APPROVED

Since 2017-11-28
CA RA
APPROVED

Since 2017-11-07

Branch Locations

14636 N Scottsdale Rd, Scottsdale, AZ 85254 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Scottsdale	AZ	06/2017	Present
Southern Maryland Bluecrabs	Waldorf	MD	04/2017	05/2017
Unemployed	Phoenix	AZ	11/2016	04/2017
San Francisco Giants	San Francisco	CA	06/2010	11/2016
Bank Of America, N.A.	Scottsdale	AZ	12/2017	Present

06/2017 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Scottsdale, AZ
04/2017 → 05/2017

Southern Maryland Bluecrabs

Waldorf, MD
11/2016 → 04/2017

Unemployed

Phoenix, AZ
06/2010 → 11/2016

San Francisco Giants

San Francisco, CA
12/2017 → Present

Bank Of America, N.A.

Scottsdale, AZ

Other Businesses

I*456898, Entity Type: , Name of OBA: Friday Night Lights, Address: Oklahoma City, Oklahoma, 73120, Investment Related: N, Position, Title, Association: Other, Employee Start Date: 08/19/2016, No Hours: 200 Yearly, No Hours during Trading: 0 Yearly, Duties: I help with many logistical items such as; Online registration formation and monitoring, Which includes setting up grades/divisions field capacity numbers, organized teams, solo registrants and constant communication with those signing up. Team formations and monitoring which includes organized teams with a coach, organizing volunteer coaches for those teams who are not organized, pairing players together as requested or based on geographical location or school attending. Preseason prep i.e. helping coaches stay informed with all needed to be ready for the upcoming season what to expect etc.., Jersey orders and monitoring which includes sizing ordering tracking and distributing. Website management which includes updating all public league data year to year, dates of importance communication notifications etc.. Scheduling creation and editing which includes pairing based on grade, location, skillset and specific bye requests as well as accommodating special requests once in season, To provide the opportunity for youth kids to learn the game of football in a fun manner I*4299267, Entity Type: , Name of OBA: M P Trust, Address: Nichols Hills, Oklahoma, 73116, Investment Related: N, Position, Title, Association: Successor Trustee, Employee Start Date: 01/01/2027, No Hours: 1 Monthly, No Hours during Trading: 1 Monthly, Duties:

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-11-06

S66 Uniform Combined State Law Examination

2017-11-06

Other Names

Austin J Fleet

View on SEC IAPD