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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 2000-11-07
FL RA APPROVED 2000-08-08
  • TX RA
    APPROVED_RES
    Since 2000-11-07
  • FL RA
    APPROVED
    Since 2000-08-08

Branch Locations

824 A1A N, Ponte Vedra Beach, FL 32082 • United States

50 N Laura St, Jacksonville, FL 32202 • 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 Jacksonville FL 01/1999 Present
Bank Of America, N.A. Tallahassee FL 07/2011 Present
Other Businesses

I*: 2578289 Entity Type: Fiduciary role Name of OBA: K.W. Address: Tallahassee, Florida, 32309 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 6/25/2025 Number of Hours: 1 hr annually Number of Hours during trading: 1 hr annually Duties: Power of Attorney for parent

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-09-08
  • S66 Uniform Combined State Law Examination
    2000-09-08

View on SEC IAPD

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