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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 2014-02-27
NC RA APPROVED 2005-05-23
  • TX RA
    APPROVED_RES
    Since 2014-02-27
  • NC RA
    APPROVED
    Since 2005-05-23

Branch Locations

380 Knollwood St, Winston Salem, NC 27103 • 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 Winston-Salem NC 05/2005 Present
Bank Of America, N.A. Winston-Salem NC 12/2009 Present
Previous Registrations
  • 2002-06-19 → 2005-05-23
    Jbs Liberty Securities, Inc.
    Winston-Salem, NC
Other Businesses

I*136645 For profit or not for profit: For-Profit Organization Name of outside business organization: Moon Pond, LLC Investment related: No Address of business: Winston Salem, North Carolina 27106 Position, title, association: General Partner Start date of relationship: 3/12/2021 Number of hours devoted: 3 hrs Annually Number of hours devoted during trading hours: 0 Duties: LLC holds beach property. I am the registered agent and one of the member managers. ENTITY TYPE: FIDUCIARY ROLE NAME OF OUTSIDE BUSINESS ORGANIZATION: TRUST POSITION INVESTMENT RELATED: NO ADDRESS OF BUSINESS: WINSTON-SALEM, NORTH CAROLINA 27104 POSITION, TITLE, ASSOCIATION: REMOVE AND APPOINT SUCCESSOR TRUSTEE START DATE OF RELATIONSHIP: 1/1/2013 NUMBER OF HOURS DEVOTED: 0 NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: REMOVE AND APPOINT SUCCESSOR CORPORATE TRUSTEE I*: 2970274 Entity Type: Fiduciary role Name of OBA: E. E. R.r, Jr Trust Address: Winston Salem, NC 27106 Investment Related: No Position, Title, Association: Co-Trustee Employee Start Date: 10/10/2025 Number of Hours: 0 Number of Hours during trading: 0 Duties: Co-Trustee/father's revocable trust I*: 2969277 Entity Type: Fiduciary role Name of OBA: Father Address: Winston Salem, NC 27106 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 10/10/2025 Number of Hours: 0 Number of Hours during trading: 0 Duties: Power of Attorney/Parents

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-06-20
S63 Uniform Securities Agent State Law Examination 2000-04-14
  • S65 Uniform Investment Adviser Law Examination
    2000-06-20
  • S63 Uniform Securities Agent State Law Examination
    2000-04-14

View on SEC IAPD

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