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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2015-12-22
TX RA APPROVED_RES 2004-05-26
  • LA RA
    APPROVED
    Since 2015-12-22
  • TX RA
    APPROVED_RES
    Since 2004-05-26

Branch Locations

445 North Blvd, Baton Rouge, LA 70802 • 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 Baton Rouge LA 05/1995 Present
Bank Of America,N.A. Baton Rouge LA 06/2011 Present
Other Businesses

FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: FUMC INVESTMENT RELATED: N ADDRESS OF BUSINESS: BATON ROUGE, LOUISIANA 70802 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 1/2/2012 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: SERVE ON THE CHURCH COUNCIL, THE FINANCE COMITTEE AND THE LAY LEADERSHIP COMMITTEE. MAKE SURE THE CHURCH FINANCES ARE IN LINE WITH EXPENSES, HELP NOMINATE AND MOTIVATE LEADERS OF AND FOR THE CHURCH. I*70485 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: FUMC - BATON ROUGE INVESTMENT RELATED: N ADDRESS OF BUSINESS: BATON ROUGE, LOUISIANA 70802 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: TRUSTEE, START DATE OF RELATIONSHIP: 1/1/2014 NUMBER OF HOURS DEVOTED: 10 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: BOARD OF TRUSTEES

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-01-06
S63 Uniform Securities Agent State Law Examination 1996-12-13
  • S65 Uniform Investment Adviser Law Examination
    1997-01-06
  • S63 Uniform Securities Agent State Law Examination
    1996-12-13
Other Names
  • Mandy Rothrock
  • Amanda R Rothrock

View on SEC IAPD

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