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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 2018-05-17
MO RA APPROVED 2018-04-24
  • TX RA
    APPROVED
    Since 2018-05-17
  • MO RA
    APPROVED
    Since 2018-04-24

Branch Locations

7676 Forsyth Blvd, Clayton, MO 63105 • 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 Saint Louis MO 07/2015 Present
Bank Of America, N.A. Saint Louis MO 07/2015 Present
Other Businesses

I*117624 For profit or not for profit: For-Profit Organization Name of outside business organization: The Owens Group Investment related: N Address of business: Cincinnati, Ohio 45231 Nature of business: Corporation, Position, title, association: Other, screening reps/freelance event ambassadors Start date of relationship: 11/1/2018 Number of hours devoted: 9 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: The Owens Group provides clients with public relations support. They market motion picture releases. I will be a film screener rep facilitating, observing and completing a survey regarding audiences' reactions & types of clients attending the movie I*136124 For profit or not for profit: For-Profit Organization Name of outside business organization: Reality Realty 102 LLC Investment related: N Address of business: St Louis, Missouri 63116 Nature of business: LLC, Position, title, association: Other, Member Start date of relationship: 2/9/2021 Number of hours devoted: 5 hour(s) Quarterly Number of hours devoted during trading hours: 0 Duties: Husband formed LLC for real estate business for renovating homes for resale or rental. I will be added as a member to run business when he is out of the states or country on work. I*1833256 Entity Type: Entity For Profit Name of OBA: Horizon Alternative Television Inc, Address: Burbank, CA, 91505, Investment Related: No, Position, Title, Association: Consultant/Independent Contractor, Employee Start Date: 05/13/2024 No Hours: 6hrs/Annually No Hours during trading: 0 Duties: INTRERPRETOR I*: 2089316 Entity Type: Rental Property Name of OBA: Rental Property 2 Address: Saint Louis, MO Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date: 09/15/2024 Number of Hours: 4 hrs mthly Number of Hours during trading: 0 Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-04-23
  • S66 Uniform Combined State Law Examination
    2018-04-23
Other Names
  • Monica Nguyen-Miller

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