Leslie Jo Puckhaber

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2009-06-19
SC	RA	APPROVED	2002-06-15

TX RA
APPROVED_RES

Since 2009-06-19
SC RA
APPROVED

Since 2002-06-15

Branch Locations

75 Port City Lndg, Mount Pleasant, SC 29464 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Mount Pleasant	SC	05/1996	Present
Bank Of America, N.A.	Mount Pleasant	SC	05/1996	Present

05/1996 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Mount Pleasant, SC
05/1996 → Present

Bank Of America, N.A.

Mount Pleasant, SC

Other Businesses

I* 408112 For profit or not for profit: Entity For Profit Name of outside business organization: Puckhaber Construction Investment related: no Address of business: Mt. Pleasant, SC, 29466 Nature of business: Limited Liability Company Position, title, association: Other Start date of relationship: 06/03/2013 Number of hours devoted: 0 yearly Number of hours devoted during trading hours: 0 Duties: None, really, just an added signatory

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	1998-12-08

S66 Uniform Combined State Law Examination

1998-12-08

Other Names

Leslie J Caldwell
Leslie Jo Caldwell
Leslie Jo Caldwell

View on SEC IAPD