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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 2019-04-02
WA RA APPROVED 2019-03-27
  • TX RA
    APPROVED
    Since 2019-04-02
  • WA RA
    APPROVED
    Since 2019-03-27

Branch Locations

10400 Ne 4Th St, Bellevue, WA 98004 • 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 Bellevue WA 02/2017 Present
Space Needle Llc Seattle WA 05/2013 03/2017
Seattle University Seattle WA 01/2015 12/2016
Bank Of America, N.A. Bellevue WA 03/2020 Present
Other Businesses

I*1305257 For profit or not for profit: Entity For Profit Name of outside business organization: YIMS LLC Investment related: N Address of business: OBA, OBA, OBA Nature of business: ["Limited Liability Company"] Position, title, association: ["General Partner/Managing Member","Owner"], Start date of relationship: 5/17/2023 Number of hours devoted: 5 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , Short Term Rental Property in Hawaii, I will be managing the Airbnb reservations and own 25% of the business

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-03-26
  • S66 Uniform Combined State Law Examination
    2019-03-26
Other Names
  • Aaron Marshall
  • Aaron Marshall-Spitzbart

View on SEC IAPD

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