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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 2015-11-03
TN RA APPROVED 2015-10-02
  • TX RA
    APPROVED
    Since 2015-11-03
  • TN RA
    APPROVED
    Since 2015-10-02

Branch Locations

800 S Gay St, Knoxville, TN 37929 • 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 Knoxville TN 06/2015 Present
Bank Of Ameica, N.A. Knoxville TN 07/2015 Present
Bank Of America, N.A. Knoxville TN 07/2015 Present
Previous Registrations
  • 2002-05-29 → 2003-07-02
    Truist Investment Services, Inc.
    Knoxville, TN
Other Businesses

I*82720 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: FOREST PARK PARTNERSHIP INVESTMENT RELATED: N ADDRESS OF BUSINESS: KNOXVILLE, TENNESSEE 37919 NATURE OF BUSINESS: PARTNERSHIP, POSITION, TITLE, ASSOCIATION: PARTICIPANT, START DATE OF RELATIONSHIP: 1/1/2015 NUMBER OF HOURS DEVOTED: 0 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: 25% OWNER IN COMMERCIAL OFFICE BUILDING. THE OTHER OWNER IS THE TENANT AND PAYS RENT TO THE PARTNERSHIP. I DO NOT HAVE ANY DAY-TO-DAY RESPONSIBILITIES.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-10-01
S63 Uniform Securities Agent State Law Examination 2000-12-08
  • S66 Uniform Combined State Law Examination
    2015-10-01
  • S63 Uniform Securities Agent State Law Examination
    2000-12-08
Other Names
  • Ben Johnson

View on SEC IAPD

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