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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 2007-04-25
NC RA APPROVED 2002-09-17
  • TX RA
    APPROVED
    Since 2007-04-25
  • NC RA
    APPROVED
    Since 2002-09-17

Branch Locations

800 Green Valley Rd, Greensboro, NC 27408 • 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 Greensboro NC 03/1997 Present
Bank Of America, N.A. Greensboro NC 12/2009 Present
Other Businesses

I*28930FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: CLEAR DEFENSE SPORTS & ATHLETIC LAMINATES LLCINVESTMENT RELATED: NADDRESS OF BUSINESS: 338 NORTH ELM STREET, GREENSBORO, NORTH CAROLINA 27405NATURE OF BUSINESS: LLC,POSITION, TITLE, ASSOCIATION: OTHER, I HAVE NO POSITION WITH COMPANY.START DATE OF RELATIONSHIP: 2/1/2002NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: WORK WITH CO.TO HELP DEVELOP PLANS FOR CONTRACTS AND ONGOING SALES,MARKETING AND LONG TERM PLANNING AND RESTRUCTURING. I*1847263Entity for ProfitName of OBA: C.R.CAddress: Burlington, North Carolina, 27408Investment Related: NoPosition, Title, Association: Power of AttorneyEmployee Start Date: 05/28/2024No Hours: 2No Hours during trading: 1Duties: I*4680321, Entity Type for profit , Name of OBA: Absolute Defense Address: GREENSBORO North Carolina 27405 Investment Related: No Position, Title, Association: I have no position. I have lent them money. Employee Start Date: 06/09/2026 No Hours: 5 Monthly No Hours during trading: 0 Duties:Provide money to company to operate through loans. To sell security services to schools (K-12 and universities)

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-05-30
S63 Uniform Securities Agent State Law Examination 1997-05-10
  • S65 Uniform Investment Adviser Law Examination
    1997-05-30
  • S63 Uniform Securities Agent State Law Examination
    1997-05-10
Designations
Other Names
  • Andrew S Cockman
  • Andrew Sanders Cockman

View on SEC IAPD

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