Lindee Brooks Shaw

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2020-07-29
TX	RA	APPROVED_RES	2020-07-27

FL RA
APPROVED

Since 2020-07-29
TX RA
APPROVED_RES

Since 2020-07-27

Branch Locations

824 A1A N, Ponte Vedra Beach, FL 32082 • United States

300 S Orange Ave Division - Southeast, Orlando, FL 32801 • United States

Ponte Vedra, FL • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Jacksonville	FL	04/2019	Present
Taphouse Graphics	Ponte Vedra	FL	04/2013	04/2019

04/2019 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Jacksonville, FL
04/2013 → 04/2019

Taphouse Graphics

Ponte Vedra, FL

Previous Registrations

2008-03-18 → 2012-01-09

Ubs Financial Services Inc.

Irvine, CA
2004-06-15 → 2007-09-25

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Oakland, CA

Newport Beach, CA

Other Businesses

Taphouse Graphics Non Investment Related Business address is residential address Graphic Design Services Owner/Manager Start - April 2013 Hours per month - approx 5 Hours during securities trading hours - 0 I handle the quickbooks, invoicing and billing. Operations

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2020-07-27

S66 Uniform Combined State Law Examination

2020-07-27

Other Names

Lindee B Carswell
Lindee Brooks Carswell
Lindee Brooks Carswell
Lindee Brooks Shaw
Lindee B Shaw
Lindee Shaw

View on SEC IAPD