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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2002-09-04
TX RA APPROVED_RES 1991-05-02
  • NC RA
    APPROVED
    Since 2002-09-04
  • TX RA
    APPROVED_RES
    Since 1991-05-02

Branch Locations

2550 Ravenhill Dr, Fayetteville, NC 28303 • 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 Fayetteville NC 09/1987 Present
Bank Of America, N.A. Fayetteville NC 07/2011 Present
Other Businesses

I*87139 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: HERITAGE BIBLE FELLOWSHIP INVESTMENT RELATED: N ADDRESS OF BUSINESS: HOPE MILLS, NORTH CAROLINA 28348 NATURE OF BUSINESS: OTHER,CHURCH POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 6/3/2007 NUMBER OF HOURS DEVOTED: 20 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: HERITAGE BIBLE FELLOWSHIPS MAIN PURPOSE IS TO SPREAD THE GOSPEL OF JESUS CHRIST. I SERVE ON THE BOARD OF DIRECTORS AND AS AN ELDER. MY MAIN RESPONSIBILITES ARE TO TEACH AND CARE FOR THE MEMBERS OF THE CHURCH.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-08-05
S65 Uniform Investment Adviser Law Examination 1994-04-14
S63 Uniform Securities Agent State Law Examination 1988-10-06
  • S66 Uniform Combined State Law Examination
    2002-08-05
  • S65 Uniform Investment Adviser Law Examination
    1994-04-14
  • S63 Uniform Securities Agent State Law Examination
    1988-10-06
Other Names
  • Steven Haworth Smith
  • Steven Haworth Fielden Smith

View on SEC IAPD

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