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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 2001-02-12
AL RA APPROVED 2000-03-08
  • TX RA
    APPROVED_RES
    Since 2001-02-12
  • AL RA
    APPROVED
    Since 2000-03-08

Branch Locations

3674 Dauphin St, Mobile, AL 36608 • 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 Denver CO 10/1999 Present
Bank Of America,Na Mobile AL 12/2009 Present
  • 10/1999 → Present
    Merrill Lynch
    Denver, CO
  • 12/2009 → Present
    Bank Of America,Na
    Mobile, AL
Other Businesses

I*125857Entity Type: For-Profit OrganizationName of outside business organization: PaLoLa LLCInvestment related: NAddress of business: Mobile, Alabama 36608Position, title, association: Limited Partner, Start date of relationship: 8/1/2019Number of hours devoted: 1 hour AnnuallyNumber of hours devoted during trading hours: 0Duties: a piece of timberland for my personal use and investment I*1950267, Entity Type: Entity Charitable , Name of OBA: University of Alabama Address: Tuscaloosa, Alabama 35487 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 08/30/24 No Hours: 12 hrs yearly No Hours during trading: 6 Duties: Advisory Board I*: 2497331Entity Type: Fiduciary roleName of OBA: J. S W. Address: Vestavia, AL 35223Investment Related: NoPosition, Title, Association: Power of AttorneyEmployee Start Date: 5/27/2025Number of Hours: 2 hrs annuallyNumber of Hours during trading: 0 Duties: Power of Attorney for parents I*: 2600270 Entity Type: fiduciary Name of OBA: WLW III Address: MobileAlabama36605 Investment Related: n Position, Title, Association: POA Employee Start Date: 07/07/2025 No Hours: 1hr/mo No Hours during trading:1 Duties: POA I*2599263, Entity Type: , Name of OBA: W L W III Trust U/A DTD 04/13/2020, Address: Mobile, Alabama, 36605, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 07-Jul-2025, No Hours: 1 Monthly, No Hours during Trading: 1 Monthly, Duties:

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-28
S63 Uniform Securities Agent State Law Examination 1996-12-23
  • S65 Uniform Investment Adviser Law Examination
    1999-12-28
  • S63 Uniform Securities Agent State Law Examination
    1996-12-23
Other Names
  • Palmer G Whiting

View on SEC IAPD

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