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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 2011-06-01
GA RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2011-06-01
  • GA RA
    APPROVED
    Since 2009-10-23

Branch Locations

3455 Peachtree Rd Ne, Atlanta, GA 30326 • 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 Atlanta GA 10/2009 Present
Bank Of America, N.A. Atlanta GA 11/2009 Present
Previous Registrations
  • 2004-03-26 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Atlanta, GA
    Atlanta, GA
    Marietta, GA
  • 2003-08-07 → 2004-04-13
    Atlanta, GA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-08-01
S63 Uniform Securities Agent State Law Examination 2001-04-27
  • S66 Uniform Combined State Law Examination
    2003-08-01
  • S63 Uniform Securities Agent State Law Examination
    2001-04-27

View on SEC IAPD

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