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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
DC RA APPROVED 2024-02-06
TX RA APPROVED_RES 2024-01-17
  • DC RA
    APPROVED
    Since 2024-02-06
  • TX RA
    APPROVED_RES
    Since 2024-01-17

Branch Locations

1800 K St Nw, Washington, DC 20006 • United States

One Bryant Park, New York, NY 10036 • 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 No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Washington DC 04/2018 Present
Td Bank Washington DC 10/2017 04/2018
Unemployed Unemployed DC 05/2017 10/2017
Teavana Arlington VA 01/2014 02/2017
Other Businesses

I*123917 For profit or not for profit: For-Profit Organization Name of outside business organization: Recessions Investment related: N Address of business: washington, District of Columbia 20036 Nature of business: resturant / bar Position, title, association: Other, one night a week bartender Start date of relationship: 12/7/2018 Number of hours devoted: 20 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Bartender at recession one night a week

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-12-12
  • S66 Uniform Combined State Law Examination
    2023-12-12
Other Names
  • Martha Gutierrez
  • Martha Paula Gutierrez

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