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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2012-09-25
  • NC RA
    APPROVED
    Since 2012-09-25

Branch Locations

1931 High House Rd, Cary, NC 27519 • 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 Cary NC 06/2012 Present
Bank Of America, N.A. Cary NC 05/2013 Present
Previous Registrations
Other Businesses

CURRENTLY PRESIDENT AND OWNER OF: TRUE CUSTOM HOMES 300 TRAFALGAR LANE CARY, NC 27513 CUSTOM HOMEBUILDING COMPANY STARTED IN JULY 2010 NOT CURRENTLY ACTIVELY BUILDING ANYTHING. NOT AN INVESTMENT COMPANY. LESS THAN 10 HOURS PER YEAR. I*85324 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL PROPERTY INVESTMENT RELATED: Y ADDRESS OF BUSINESS: CARY, NORTH CAROLINA 27513 NATURE OF BUSINESS: OTHER,INDIVIDUALS RENTING OUT THEIR HOME POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 11/1/2014 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: WE RENT OUT A HOME THAT WE OWN IN CARY, NC.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-09-24
  • S66 Uniform Combined State Law Examination
    2012-09-24
Other Names
  • Cale Ashley Herndon

View on SEC IAPD

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