Risa Lee Jones

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	1987-10-28

TX RA
APPROVED

Since 1987-10-28

Branch Locations

2510 Marsha Sharp Fwy, Lubbock, TX 79415 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Lubbock	TX	09/1987	Present
Bank Of America, N.A.	Lubbock	TX	12/2009	Present

09/1987 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Lubbock, TX
12/2009 → Present

Bank Of America, N.A.

Lubbock, TX

Other Businesses

I*79353 ENTITY TYPE: NON-PROFIT NAME OF OUTSIDE BUSINESS ORGANIZATION: AMERICAN CANCER SOCIETY INVESTMENT RELATED: NO ADDRESS OF BUSINESS: LUBBOCK, TEXAS 79415 POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER START DATE OF RELATIONSHIP: 1/22/2015 NUMBER OF HOURS DEVOTED: 20 HOURS ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 10 HRS ANNUALLY DUTIES: THE ENTITY SUPPORTS CANCER RESEARCH AND THE HOPE LODGE/ I AM ON THE COMMITTEE TO PLAN A PARTY TO RAISE FUNDS FOR THE HOPE LODGE ENDOWMENT FUND. I*88497 ENTITY TYPE: NON-PROFIT NAME OF OUTSIDE BUSINESS ORGANIZATION: MONTEREY CHURCH OF CHRIST INVESTMENT RELATED: NO ADDRESS OF BUSINESS: LUBBOCK, TEXAS 79424 POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER START DATE OF RELATIONSHIP: 11/20/2015 NUMBER OF HOURS DEVOTED: 15 HOURS ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 15 HRS ANNUALLY DUTIES: THIS IS A CHURCH. I*3313288 Entity Type: Fiduciary role Name of OBA: 508-99614 -D. S. .J. IRRA Address: Lubbock, TX 79424 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 12/15/2025 Number of Hours: 1, Yearly Number of Hours during trading: 0 Duties: Power of Attorney/ Spouse

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-05-06
S63	Uniform Securities Agent State Law Examination	1986-07-02

S65 Uniform Investment Adviser Law Examination

1995-05-06
S63 Uniform Securities Agent State Law Examination

1986-07-02

View on SEC IAPD