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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_RES 2024-11-12
  • TX RA
    APPROVED_RES
    Since 2024-11-12

Branch Locations

275 E Rivulon Blvd, Gilbert, AZ 85297 • 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 Gilbert AZ 06/2023 Present
Caffall Dental Care Mesa AZ 07/2021 06/2023
Mcgrath Builders Llc Tempe AZ 05/2020 07/2021
Bank Of America Mesa AZ 11/2016 03/2020
Homemaker Mesa AZ 07/2016 11/2016
  • 06/2023 → Present
    Gilbert, AZ
  • 07/2021 → 06/2023
    Caffall Dental Care
    Mesa, AZ
  • 05/2020 → 07/2021
    Mcgrath Builders Llc
    Tempe, AZ
  • 11/2016 → 03/2020
    Bank Of America
    Mesa, AZ
  • 07/2016 → 11/2016
    Homemaker
    Mesa, AZ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-09-11
  • S66 Uniform Combined State Law Examination
    2024-09-11
Other Names
  • Alexis Huegle

View on SEC IAPD

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