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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 2024-07-31
MO RA APPROVED 2024-07-17
  • TX RA
    APPROVED
    Since 2024-07-31
  • MO RA
    APPROVED
    Since 2024-07-17

Branch Locations

400 Chesterfield Ctr, Chesterfield, MO 63017 • 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
Td Ameritrade Town And Country MO 01/2018 03/2020
Usaf Scott Air Force Base IL 12/2017 Present
Unemployed St. Louis MO 11/2017 12/2017
Pangea St. Louis MO 09/2017 11/2017
R.V. Wagner St. Louis MO 09/2017 09/2017
Unnerstall Contracting Pacific MO 07/2017 08/2017
Chavas Restaurant St. Louis MO 05/2017 01/2019
Lhm Hotels (Sheraton) St. Louis MO 02/2017 07/2017
Habitata Bp Maryland Heights MO 07/2016 01/2017
Wells Fargo Clearing Services St Louis MO 05/2020 06/2024
Wells Fargo Clearing Services St Louis MO 04/2020 05/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated Chesterfield MO 06/2024 Present
Bank Of America, N.A. Chesterfield MO 08/2024 Present
  • 01/2018 → 03/2020
    Td Ameritrade
    Town And Country, MO
  • 12/2017 → Present
    Usaf
    Scott Air Force Base, IL
  • 11/2017 → 12/2017
    Unemployed
    St. Louis, MO
  • 09/2017 → 11/2017
    Pangea
    St. Louis, MO
  • 09/2017 → 09/2017
    R.V. Wagner
    St. Louis, MO
  • 07/2017 → 08/2017
    Unnerstall Contracting
    Pacific, MO
  • 05/2017 → 01/2019
    Chavas Restaurant
    St. Louis, MO
  • 02/2017 → 07/2017
    Lhm Hotels (Sheraton)
    St. Louis, MO
  • 07/2016 → 01/2017
    Habitata Bp
    Maryland Heights, MO
  • 05/2020 → 06/2024
    Wells Fargo Clearing Services
    St Louis, MO
  • 04/2020 → 05/2020
    Wells Fargo Clearing Services
    St Louis, MO
  • 06/2024 → Present
    Chesterfield, MO
  • 08/2024 → Present
    Bank Of America, N.A.
    Chesterfield, MO
Previous Registrations
Other Businesses

I*1898267, Entity Type, Entity Governmental, Name of OBA: Air Force Reserves, Address: Scott AFB, IL, Investment Related: No, Position, Title, Association: Behavioral Health Technician, Employee Start Date: 10/2017, No Hours: 16hrs/Mo, No Hours during trading: 0, Duties: INITIAL ASSESSMENT OF PATIENTS, WRITE REPORTS AND CLERICAL WORK. MARIO GUZMAN FITNESS COACH LLC; NOT INV RELATED; ST LOUIS, MO; 100% OWNERSHIP; START DATE 2/8/2024; 40 HOURS PER MONTH; 0 DURING TRADING; OWNER, CONDUCT MARKETING AND SALES.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-09-01
S63 Uniform Securities Agent State Law Examination 2018-12-14
  • S65 Uniform Investment Adviser Law Examination
    2023-09-01
  • S63 Uniform Securities Agent State Law Examination
    2018-12-14

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