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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 2013-02-07
SC RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2013-02-07
  • SC RA
    APPROVED
    Since 2009-10-23

Branch Locations

75 Port City Lndg, Mount Pleasant, SC 29464 • United States

One Bryant Park, New York, NY 10036 • 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 Charleston SC 10/2009 Present
Previous Registrations
  • 2004-08-03 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Charleston, SC
    Charleston, SC
  • 2004-02-17 → 2004-04-07
    Banc One Securities Corporation
    Huntington, WV
  • 2000-10-16 → 2004-03-11
    Banc Of America Investment Services, Inc.
    Nashville, TN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-09-30
  • S66 Uniform Combined State Law Examination
    2000-09-30

View on SEC IAPD

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