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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 2019-12-20
FL RA APPROVED 2009-10-23
SC RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2019-12-20
  • FL RA
    APPROVED
    Since 2009-10-23
  • SC RA
    APPROVED
    Since 2009-10-23

Branch Locations

1301 Gervais St, Columbia, SC 29201 • United States

Ridgeway, SC • 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 Columbia SC 10/2009 Present
Bank Of America, Na Columbia SC 11/2009 Present
Previous Registrations
  • 2001-09-28 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Columbia, SC
    Columbia, SC
Other Businesses

I*541285 For profit or not for profit: Entity Charitable Name of outside business organization: Hammond School Investment related: N Address of business: Columbia, South Carolina, 29209 Nature of business: ["School, College or University"] Position, title, association: ["Other"], Start date of relationship: 11/1/2021 Number of hours devoted: 8 hour(s) Weekly Number of hours devoted during trading hours: 0 Duties: Assistant Wrestling Coach, Hammond School is a Private Collegiate Preparatory School that my Children attend. I have been asked to be an Assistant Wrestling Coach. I will be coaching youths between the ages of 12-18 years of age. I may receive uniforms.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-07-25
S63 Uniform Securities Agent State Law Examination 2001-08-17
  • S66 Uniform Combined State Law Examination
    2002-07-25
  • S63 Uniform Securities Agent State Law Examination
    2001-08-17

View on SEC IAPD

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