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Joan Karen Phillips

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Atlanta, GA

Alpharetta, GA

Suwanee, GA

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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 2013-02-11
GA RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2013-02-11
  • GA RA
    APPROVED
    Since 2009-10-23

Branch Locations

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

10000 Avalon Blvd, Alpharetta, GA 30009 • United States

Suwanee, GA • 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 Alpharetta GA 10/2009 Present
Previous Registrations
  • 2006-10-19 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Alpharetta, GA
    Atlanta, GA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-10-17
S63 Uniform Securities Agent State Law Examination 2001-11-26
  • S65 Uniform Investment Adviser Law Examination
    2006-10-17
  • S63 Uniform Securities Agent State Law Examination
    2001-11-26
Other Names
  • Joan Phillips
  • Joan Karen Venco
  • Joan Karen Venco
  • Joan Karen Phillips
  • Joan Phillips
  • Joan Karen Soveran

View on SEC IAPD

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BISON WEALTH, LLC · ATLANTA, GA
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RBC CAPITAL MARKETS, LLC · Atlanta, GA
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AMERIPRISE FINANCIAL SERVICES, LLC · Atlanta, GA
NEWEDGE ADVISORS · Atlanta, GA

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