I David Plaza

Current Employers

Employment History

• 11/1990 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Wilmington, DE
• 06/2011 → Present
  Bank Of America,N.A.
  Wilmington, DE

Previous Registrations

• 2009-01-05 → 2009-02-02
  Ubs Financial Services Inc.
  Greenville, DE

Other Businesses

I*45573 ENTITY TYPE: FOR-PROFIT ORGANIZATION NAME: EVIL HAG ENTERPRISES INC INVESTMENT RELATED: NO ADDRESS: LOS ANGELOS, CALIFORNIA 90068 POSITION, TITLE, ASSOCIATION: FINANCIAL ADVISOR START DATE: 9/3/2007 HOURS DEVOTED: 1 HR ANNUALLY HOURS DEVOTED DURING TRADING HOURS: 1 HR MTHLY DUTIES: ENTERTAINMENT/PRODUCTION COMPANY, PROVIDE FINANCIAL ADVISORY ASSISTANCE TO MY DAUGHTER WHO IS THE SOLE OWNER AND MANAGER OF THIS COMPANY I*89966 ENTITY TYPE: FOR-PROFIT ORGANIZATION NAME: DP ENTERPRISES, LLC INVESTMENT RELATED: YES ADDRESS: WILMINGTON, DELAWARE 19803 POSITION, TITLE, ASSOCIATION: GENERAL PARTNER, START DATE OF RELATIONSHIP: 1/20/2016 HOURS DEVOTED: 10 HRS MTHL HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: SINGLE MEMBER LLC TO OWN AND MANAGE RESIDENTIAL INVESTMENT PROPERTIES. I*600252 Entity Type: For Profit Name: Fear Knot Productions, LLC Investment related: Yes Address: Wilmington, Delaware, 19803 Position, title, association: Managing Member, Start date: 11/30/2021 Hours devoted: 0 Hours devoted during trading hours: 0 Duties: Managing member of LLC. Film Investment Company I*1767361, Entity Type: Rental Property, Name: Rental Property 1 Address: Delray Beach, FL 33483, Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date:03/01/2024 No Hours: 1 hr mthly No Hours during trading: 0 Duties: Co-owner with other family members of rental property I* 1767363, Entity Type: Rental Property, Name: Rental Property 2 Address: Delray Beach, FL, 33483 Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date: 04/01/2024 No Hours: 1 hr mthly No Hours during trading: 0 Duties: Co-owner with other family members for rental property I*: 2667329 Entity Type: Fiduciary role Name of OBA: MLPF& S CUST FPO A. C P. RRA FBO A. C P. Address: Los Angeles, California, 90068 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 7/1/2025 Number of Hours: 1 hr annually Number of Hours during trading: 0 Duties: Power of Attorney for Child/Grandchild

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-03-28
• S63 Uniform Securities Agent State Law Examination
  1987-12-18

Other Names

• Ismael David Plaza