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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 2012-12-06
FL RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2012-12-06
  • FL RA
    APPROVED
    Since 2009-10-23

Branch Locations

3455 Peachtree Rd Ne Division - Southeast, Atlanta, GA 30326 • United States

Wellington, FL • United States

1 Town Center Rd, Boca Raton, FL 33486 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Fort Lauderdale FL 10/2009 Present
Previous Registrations
  • 2007-05-01 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Fort Lauderdale, FL
  • 2007-04-02 → 2007-05-01
    Morgan Stanley & Co. Llc
    Ft. Lauderdale, FL
  • 1998-11-16 → 2007-04-02
    Morgan Stanley Dw Inc.
    Ft. Lauderdale, FL
    Ft.LAuderdal, FL
Other Businesses

I*5191275 Entity Type: Entity Financial Institution Name of OBA: Florida Securities Dealers Association, Inc. Address: Jupiter, Florida, 33458 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 08/04/2026 Number of Hours: 20, Yearly Number of Hours during trading: 20, Yearly Duties: Representing broker-dealers, investment advisors, mutual funds, insurance companies, and other securities firms throughout the Sunshine State, the FSDA serves the industry before Florida legislators and regulators. With Board members representing all segments of the securities industry, the FSDA is continually expanding its efforts, providing new opportunities for networking and improving the business climate for our industry in Florida. The FSDA maintains effective and productive communications with lawmakers and regulators, and promotes the welfare of its members. The FSDA helps make sure that Florida is guided by responsible regulations and laws. That’s good business, and it’s good for our customers, employees and the investing public, too. Voting member representing Merrill in the FSDA 2) FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: YOUR DAILY HEALTH INVESTMENT RELATED: N ADDRESS OF BUSINESS: WELLINGTON, FLORIDA 33449 POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 11/12/2012 NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: I AM TAKING A COURSE TO BECOME A HEALTH COACH. THIS NAME IS TENTATIVE AND THE BUSINESS HAS NOT BEEN REGISTERED WITH THE STATE AS YET. I NEED TO BEGIN CREATING A WEBSITE I*110707 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: JUICE PLUS INVESTMENT RELATED: N ADDRESS OF BUSINESS: COLLIERVILLE, TENNESSEE 38017 NATURE OF BUSINESS: CORPORATION, POSITION, TITLE, ASSOCIATION: OTHER, DISTRIBUTOR START DATE OF RELATIONSHIP: 11/28/2017 NUMBER OF HOURS DEVOTED: 16 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: DISTRIBUTOR FOR JUICE PLUS PRODUCTS

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-11-23
S63 Uniform Securities Agent State Law Examination 1993-02-19
  • S65 Uniform Investment Adviser Law Examination
    1998-11-23
  • S63 Uniform Securities Agent State Law Examination
    1993-02-19
Other Names
  • Dawn Ruthlyn Chambers
  • Dawn Ruthlyn Williams

View on SEC IAPD

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