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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 2011-08-30
SC RA APPROVED 2011-08-02
  • TX RA
    APPROVED_RES
    Since 2011-08-30
  • SC RA
    APPROVED
    Since 2011-08-02

Branch Locations

700 Bay St, Beaufort, SC 29902 • 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 Beaufort SC 07/2011 Present
Bank Of America, N.A. Beaufort SC 10/2011 Present
Previous Registrations
  • 2009-10-14 → 2011-08-01
    Truist Investment Services, Inc.
    Augusta, GA
    Augusta, GA
  • 2003-01-27 → 2009-09-24
    Morgan Keegan & Company, Llc
    Hilton Head, SC
    Beaufort, SC
Other Businesses

I*57106 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: HISTORIC BEAUFORT FOUNDATION INVESTMENT RELATED: NO ADDRESS OF BUSINESS: BEAUFORT, SOUTH CAROLINA 29901 POSITION, TITLE, ASSOCIATION: TRUSTEE START DATE OF RELATIONSHIP: 9/1/2012 NUMBER OF HOURS DEVOTED: 3 HOURS MTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 1 HR MTHLY DUTIES: THE MISSION OF HISTORIC BEAUFORT FOUNDATION IS TO SUPPORT THE PRESERVATION, PROTECTION AND PRESENTATION OF SITES AND ARTIFACTS OF HISTORIC, ARCHITECTURAL AND CULTURAL INTEREST THROUGHOUT BEAUFORT COUNTY, SOUTH CAROLINA. REVIEW BALANCE SHEET, BUDGET I*2096286, Entity Type: Fiduciary, Name of OBA: J C. T, Address: Aiken, South Carolina, 29801, Investment Related: No, Position, Title, Association: Power of Attorney, Employee State Date: 18-Nov-2024, No Hours: 1 Yearly, No Hours during Trading: 1 Yearly, Duties: Power of Attorney for father I*4623283 Entity Type: Fiduciary role Name of OBA: J. C. T. TOD BENEFICIARIES ON FILE Address: Beaufort, South Carolina, 29907 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 05/26/2026 Number of Hours: 1, Yearly Number of Hours during trading: 1, Yearly Duties: Power of Attorney/Child/Grandchild

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-01-09
  • S66 Uniform Combined State Law Examination
    2001-01-09

View on SEC IAPD

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