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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2010-06-09
TX RA APPROVED_RES 2005-11-14
IL RA APPROVED 2001-07-16
  • NC RA
    APPROVED
    Since 2010-06-09
  • TX RA
    APPROVED_RES
    Since 2005-11-14
  • IL RA
    APPROVED
    Since 2001-07-16

Branch Locations

6000 Fairview Rd, Charlotte, NC 28210 • United States

Matthews, NC • 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 Charlotte NC 10/2000 Present
Bank Of America,N.A. Charlotte NC 06/2011 Present
Other Businesses

I*4632290, Entity Type: Entity For Profit, Name of OBA: Fischer Interactive LLC, Address: Matthews, North Carolina, 28104, Investment Related: N, Position, Title, Association: ["General Partner/Managing Member"], Employee Start Date: 06/17/2026, No Hours: 5 Monthly, No Hours during Trading: 0 Monthly, Duties: My expected role will be Member and/or Manager of the LLC. I may also participate in software development, app development, administrative oversight, raw land ownership decisions, and other approved LLC activities. Request approval to form/own an LLC with my spouse for personal purposes: holding raw land, holding IP, and developing/launching a software/mobile app. App revenue limited to app-store sales/subscriptions. Land is not leased, has no rental income, and no leasing is intended. No firm clients/prospects, BofA/Merrill branding/resources/systems/data, securities activity, advice, brokerage, insurance, banking, lending, crypto, outside investors, capital raising, referrals, ads, sponsorships, licensing, rental income, or PSTs unless disclosed/approved. No firm title/licenses/affiliation used. Updates before material changes. See attached full details and request.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-02-22
  • S66 Uniform Combined State Law Examination
    2001-02-22
Other Names
  • Mike Anderson

View on SEC IAPD

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