Best Investors Account Sign in
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2011-04-21
TX RA APPROVED 2011-04-18
  • AL RA
    APPROVED
    Since 2011-04-21
  • TX RA
    APPROVED
    Since 2011-04-18

Branch Locations

3674 Dauphin St, Mobile, AL 36608 • 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 Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Mobile AL 04/2011 Present
Previous Registrations
  • 2009-06-01 → 2011-05-10
    New Orleans, LA
    Mobile, AL
  • 2007-07-10 → 2009-06-01
    Morgan Stanley & Co. Llc
    New Orleans, LA
    Houston, TX
Other Businesses

I*1210301For profit or not for profit: Entity For ProfitName of outside business organization: DOOR DASHInvestment related: NAddress of business: MOBILE, Alabama, 36608Nature of business: ["Corporation"]Position, title, association: ["Other"], Start date of relationship: 3/9/2023Number of hours devoted: 15 hour(s) WeeklyNumber of hours devoted during trading hours: 0Duties: Food Delivery to customers. Will work on a voluntary basis., PART-TIME FOOD DELIVERY I*1381311For profit or not for profit: Entity For ProfitName of outside business organization: The Fizz BarInvestment related: NAddress of business: Mobile, Alabama, 36608, United StatesNature of business: ["Sole Proprietorship"]Position, title, association: ["Other"], Start date of relationship: 7/5/2023Number of hours devoted: 10 hour(s) WeeklyNumber of hours devoted during trading hours: 0Duties: Assist my daughter with her jewelry business online and in person. Help with capital for her to buy inventory., Surprise Jewelry Reveal business. Helping my daughter with her small business. I*3162324, Entity Type,Charitable Name of OBA: Niorix Network,Address: HOUSTON,Texas,77065,Investment Related: no,Position, Title, Association: Board Member,Employee Start Date:11/15/2025, No Hours:10 weekly, No Hours during trading:0 Duties:Business and Social Club whose mission is to create a networking community for black women in business through collaboration, education and excellenceIntake Coordinator - guide new members through the invitation process, provide all necessary information, collect and record new member data for organization. I*1721261 Entity Type: Entity Charitable Name of OBA: Krewe of Nandi Address: Harvey, Louisiana, 70059 Investment Related: No Position, Title, Association: Committee Employee Start Date: 03/01/2024 Number of Hours: 20, Weekly Number of Hours during trading: 0, Weekly Duties: Mardi Gras Parading Krewe, social and pleasure club Manage financial records and transactions related to membership and organization. Record membership dues and payments, maintain accurate financial records related to contributions. Prepare financial reports for the Board of Directors, ensure financial records are properly maintained and organized.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-06-16
S63 Uniform Securities Agent State Law Examination 2006-12-17
  • S66 Uniform Combined State Law Examination
    2007-06-16
  • S63 Uniform Securities Agent State Law Examination
    2006-12-17
Other Names
  • Charisse Ann Lykes

View on SEC IAPD

More in Mobile, AL

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor