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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 2009-04-24
NC RA APPROVED 2007-10-26
  • TX RA
    APPROVED_RES
    Since 2009-04-24
  • NC RA
    APPROVED
    Since 2007-10-26

Branch Locations

8015 W Kenton Cir, Huntersville, NC 28078 • 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 Huntersville NC 10/2007 Present
Bank Of America, Na Huntersville NC 12/2009 Present
Previous Registrations
  • 2004-04-14 → 2007-11-02
    A. G. Edwards & Sons, Inc.
    Huntersville, NC
    Huntersville, NC
Other Businesses

PRESIDENT-BOBWHITE VENTURES -THE PARTNERSHIP THAT OWNS AND OPERATES ONE MAIL BOXES ETC. FRANCHISE. THE ADDRESS IS 1161 EAST MARION STREET, SHELBY, NC 28150. I NO LONGER HAVE JOB DUTIES EXCEPT FILING TAX RETURNS AND MEETING WITH BROKER LISTED TO SELL THE MAIL BOXES ETC. NO INVESTMENT ACTIVITY. COMPANY WAS FORMED IN 1996 AND WILL BE TERMINATED ONCE THE MAIL BOXES ETC. FRANCHISE IS SOLD.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-04-13
S63 Uniform Securities Agent State Law Examination 2001-08-08
  • S66 Uniform Combined State Law Examination
    2004-04-13
  • S63 Uniform Securities Agent State Law Examination
    2001-08-08

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