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
VA RA APPROVED 2009-10-23
  • VA RA
    APPROVED
    Since 2009-10-23

Branch Locations

1111 E Main St, Richmond, VA 23219 • United States

22 Bull St, Savannah, GA 31401 • 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 Richmond VA 10/2009 Present
Bank Of America, N.A. Richmond VA 01/1986 Present
Previous Registrations
  • 2002-12-19 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Richmond, VA
    Richmond, VA
    Richmond, VA
    Norfolk, VA
Other Businesses

I*81013 ENTITY TYPE: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: WESTMINSTER CANTERBURY FOUNDATION INVESTMENT RELATED: NO ADDRESS OF BUSINESS: RICHMOND, VIRGINIA 23227 POSITION, TITLE, ASSOCIATION: DIRECTOR START DATE OF RELATIONSHIP: 1/1/2016 NUMBER OF HOURS DEVOTED: 2 HOURS MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 2 DUTIES: WESTMINSTER CANTERBURY FOUNDATION PROVIDES FINANCIAL SUPPORT TO RESIDENTS AND POTENTIAL RESIDENTS OF WESTMINSTER CANTERBURY, A RETIREMENT/ CONTINUING CARE COMMUNITY, WHO ARE IN NEED OF FINANCIAL SUPPORT. I*99335 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: B POOL LLC INVESTMENT RELATED: NO ADDRESS OF BUSINESS: RICHMOND, VIRGINIA 23226 POSITION, TITLE, ASSOCIATION: FAMILY HELD START DATE OF RELATIONSHIP: 10/7/2016 NUMBER OF HOURS DEVOTED: 2 HOURS MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MY WIFE AND ONE OF HER SISTER'S HAVE TAKEN OVER OWNERSHIP OF A FAMILY HOME. WHILE IT IS INTENDED FOR PERSONAL USE, THERE WILL BE TIMES THAT THEY WILL SELECTIVELY RENT IT OUT TO OFFSET OWNERSHIP EXPENSES. I HAVE NO OWNERSHIP BUT WILL PAY BILLS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-12-18
S63 Uniform Securities Agent State Law Examination 2001-04-11
  • S66 Uniform Combined State Law Examination
    2002-12-18
  • S63 Uniform Securities Agent State Law Examination
    2001-04-11

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Richmond, VA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor