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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 2025-10-24
NV RA APPROVED 2025-09-29
  • TX RA
    APPROVED
    Since 2025-10-24
  • NV RA
    APPROVED
    Since 2025-09-29

Branch Locations

4795 S Maryland Pkwy, Las Vegas, NV 89119 • United States

4910 S Ft Apache Rd, Las Vegas, NV 89148 • 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
Us Marine Corps Washington Dc DC 03/2000 09/2024
William Miller Las Vega NV 05/2024 09/2024
Northwestern Mutual Life Insurance Company Milwaukee WI 10/2024 03/2025
Northwestern Mutual Investment Services Llc Las Vegas NV 10/2024 03/2025
Merrill Lynch, Pierce, Fenner & Smith Incorporated Las Vegas NV 07/2025 Present
Whole Foods Market Arlington VA 08/2019 03/2021
Amazon Arlington VA 09/2018 10/2019
State Of Nevada Las Vegas NV 03/2025 07/2025
Bank Of America, N.A. Las Vegas NV 10/2025 Present
  • 03/2000 → 09/2024
    Us Marine Corps
    Washington Dc, DC
  • 05/2024 → 09/2024
    William Miller
    Las Vega, NV
  • 10/2024 → 03/2025
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 10/2024 → 03/2025
    Northwestern Mutual Investment Services Llc
    Las Vegas, NV
  • 07/2025 → Present
    Las Vegas, NV
  • 08/2019 → 03/2021
    Whole Foods Market
    Arlington, VA
  • 09/2018 → 10/2019
    Amazon
    Arlington, VA
  • 03/2025 → 07/2025
    State Of Nevada
    Las Vegas, NV
  • 10/2025 → Present
    Bank Of America, N.A.
    Las Vegas, NV
Other Businesses

I*3963267 Entity Type: For Profit, Publicly Traded Name of OBA: Door Dash Address: San Francisco, California, 94107 Investment Related: No Position, Title, Association: Consultant/Independent Contractor Employee Start Date: 03/07/2026 Number of Hours: 10, Weekly Number of Hours during trading: 0 Duties: Food delivery. Deliver food to customers homes/businesses.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-09-26
S63 Uniform Securities Agent State Law Examination 2024-09-16
  • S66 Uniform Combined State Law Examination
    2025-09-26
  • S63 Uniform Securities Agent State Law Examination
    2024-09-16
Other Names
  • Mike Montgomery
  • Raphael Michael Montgomery

View on SEC IAPD

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