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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NM RA APPROVED 1988-06-27
TX RA APPROVED_RES 1985-11-07
  • NM RA
    APPROVED
    Since 1988-06-27
  • TX RA
    APPROVED_RES
    Since 1985-11-07

Branch Locations

425 S Telshor Blvd, Las Cruces, NM 88011 • 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 No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Las Cruces NM 07/1985 Present
Bank Of America,Na Las Cruces NM 09/2009 Present
Other Businesses

I*839274 For profit or not for profit: Entity For Profit Name of outside business organization: JK Investment Properties Investment related: No Address of business: Las Cruces, New Mexico, 88005 Nature of business: Limited Liability Company Position, title, association: Owner Start date of relationship: 1/1/2021 Number of hours devoted: 0 Number of hours devoted during trading hours: 0 Duties: Rental income. Collect rent. I*73500 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: CUST POA INVESTMENT RELATED: YES ADDRESS OF BUSINESS: LAS CRUCES, NEW MEXICO 88011 NATURE OF BUSINESS: OTHER,CUST ACCT POSITION, TITLE, ASSOCIATION: OTHER, POA START DATE OF RELATIONSHIP: 7/9/2014 NUMBER OF HOURS DEVOTED: 1 HOUR QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 1 DUTIES: THIS IS A CUST ACCT FOR MY STEP DAUGHTER. I HAVE A POA. I*137617 For profit or not for profit: For-Profit Organization Name of outside business organization: The Diamond Barrel Ranch Investment related: No Address of business: Las Cruces, New Mexico 88011 Nature of business: LLC Position, title, association: Family Held Start date of relationship: 4/25/2021 Number of hours devoted: 10 hours Annually Number of hours devoted during trading hours: 0 Duties: I purchased 2.5 acres of land and plan to rent the land to my kids grandmother. My daughter does rodeos with her Grandma. Grandma has horses and needed a place to keep them, after she moved to Truth or Consequences NM. She will pay the LLC rent. I*1406250 For profit or not for profit: Name of outside business organization: Rental Property 1 Investment related: No Address of business: Las Cruces, New Mexico, 88011 Position, title, association: Sole owner Start date of relationship: 7/25/2023 Number of hours devoted: 1 hour Monthly Number of hours devoted during trading hours: 0 Duties: I*437874, Entity Type: Entity For Profit, Name of OBA: KJ IRA, Address: Las Cruces, New Mexico 88011, Investment Related: Y, Position, Title, Association: Other, Employee Start Date: 04/27/2017, No Hours: 1, No Hours during trading: 1, Duties: Power of Attorney to assist her with the investment management of her IRA. I*: 2210262 Entity Type: For Profit Name of OBA: JJ Homes Address: Las Cruces, NM 88005 Investment Related: No Position, Title, Association: Owner Employee Start Date: 3/17/2025 Number of Hours: 1 hr wkly Number of Hours during trading: 0 Duties: Rental Income Help pay the bills when the rental income falls short

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-01-07
S63 Uniform Securities Agent State Law Examination 1985-10-30
  • S65 Uniform Investment Adviser Law Examination
    1994-01-07
  • S63 Uniform Securities Agent State Law Examination
    1985-10-30
Other Names
  • Jake Jacobs
  • John Edwin Jacobs

View on SEC IAPD

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