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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 2004-07-29
FL RA APPROVED 2000-08-21
  • TX RA
    APPROVED_RES
    Since 2004-07-29
  • FL RA
    APPROVED
    Since 2000-08-21

Branch Locations

824 A1A N, Ponte Vedra Beach, FL 32082 • 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 Gainesville FL 07/1997 Present
Other Businesses

I*49388FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: POWER OF ATTORNEY (ML)INVESTMENT RELATED: YADDRESS OF BUSINESS:JACKSONVILLE, FLORIDA 32202NATURE OF BUSINESS: OTHER, I HAVE POA ON MY HUSBAND'S RRA AND MOTHER'S IRRAPOSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 10/24/2008NUMBER OF HOURS DEVOTED: 1 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 1DUTIES: POA I*3217291, Entity Type, Name of OBA: D D G Address: FLEMING ISLANDFlorida32003 Investment Related: No Position, Title, Association: Power of AttorneyEmployee Start Date: 11/20/2025No Hours: 1 yearly No Hours during trading: 1 yearly Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-11-07
S63 Uniform Securities Agent State Law Examination 2001-12-19
  • S66 Uniform Combined State Law Examination
    2009-11-07
  • S63 Uniform Securities Agent State Law Examination
    2001-12-19

View on SEC IAPD

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