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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2022-09-29
LA RA APPROVED 2015-12-22
TX RA APPROVED_RES 1999-01-28
  • FL RA
    APPROVED
    Since 2022-09-29
  • LA RA
    APPROVED
    Since 2015-12-22
  • TX RA
    APPROVED_RES
    Since 1999-01-28

Branch Locations

601 Poydras St, New Orleans, LA 70130 • United States

815 S Palafox St, Pensacola, FL 32502 • United States

Perdido Key, FL • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Bank Of America,N.A. New Orleans LA 06/2011 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated New Orleans LA 07/1996 Present
Other Businesses

I*38991 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: CRESCENT PRODUCTION PARTNERS INVESTMENT RELATED: N ADDRESS OF BUSINESS: NEW ORLEANS, LOUISIANA 70115 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 11/16/2004 NUMBER OF HOURS DEVOTED: 1 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: NO PURPOSE RIGHT NOW OTHER THAN HAVING BOUGHT A CAR FOR MY FATHER IN LAW. ALSO WILL MAKE CERTAIN INVESTMENTS IN MOTION PICTURE PRODUCTIONS. INVESTMENTS WILL BE PASSIVE AND LIMITED IN LIABILITY. COMMERCIAL REAL ESTATE INVESTMENT IN FAMILY VENTURE. I*22468 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: YMCA OF GREATER NEW ORLEANS INVESTMENT RELATED: N ADDRESS OF BUSINESS: 1050 SOUTH JEFFERSON DAVIS PKWY, STE 241 NEW ORLEANS, LOUISIANA 70130 NATURE OF BUSINESS: OTHER, NON PROFIT ORGANIZATION POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 0001-01-01 NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: NOT FOR PROFIT CHAIRMAN OF THE BOARD

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1996-10-25
S65 Uniform Investment Adviser Law Examination 1996-10-25
  • S63 Uniform Securities Agent State Law Examination
    1996-10-25
  • S65 Uniform Investment Adviser Law Examination
    1996-10-25
Other Names
  • Scott D Hardie
  • Scott Davis Hardie
  • Scott Hardie

View on SEC IAPD

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