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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-02-23
TX RA APPROVED_RES 2015-04-02
NC RA APPROVED 2013-10-01
SC RA APPROVED 2004-05-13
  • CA RA
    APPROVED
    Since 2021-02-23
  • TX RA
    APPROVED_RES
    Since 2015-04-02
  • NC RA
    APPROVED
    Since 2013-10-01
  • SC RA
    APPROVED
    Since 2004-05-13

Branch Locations

Charlotte, NC • United States

620 S Tryon St, Charlotte, NC 28255 • United States

1301 Gervais St, Columbia, SC 29201 • United States

San Clemente, CA • United States

1906 Calle De Los Alamos, San Clemente, CA 92672 • 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 Charlotte NC 02/2004 Present
Bank Of America, N.A. Charlotte NC 12/2009 Present
Other Businesses

I*554240For Profit Name: Columbia Capital XV LLC Invstmnt related: Y Address: Charlotte, NC Position: Gnrl Prtnr/ Mging Mmber Start: 10/25/2021Hrs devoted: 1 hr I*136737For-Profit Name: The Rare Chinchillas LLC Invstmnt rlted: Y Address: Charlotte, NC Mging Mmbr Start: 3/31/2021Hrs devoted: 2 hrs Annually Hrs devoted during trading: 2 Duties: Holding LLC to invest in Riverside Technology Capital Solutions Fund II. I did Fund I and Including my brother and father, which is why we are opening the LLC. I*88115For-Profit Name: Columbia Capital X LLC Invstmnt rlted: Y Address: Columbia, SC Position: LLC, Limited Partner, Start: 11/12/2015 Hrs devoted: 1 hr Annually Hrs devoted during trading hrs: 1 Duties: LLC Setup to house investment Tiger Global PIP X LP with partners NON PROFITNAME: COLUMBIA MUSEUM OF ART ADDRESS: ADVISORY BRD MBR START: 09/01/2010 HRS DEVOTED: 2 MTHLY DUTIES: I AM A FUNDRAISER FOR THE YOUNG CONTEMPORARIES BRD I*80028 For-Profit Name: Otter Creek Investments LLC Invstmnt rlted: Y Address: Charlotte, NC Owner Start date: 4/2/2015 Hrs devoted: 0 Hrs devoted during trading hours: 0Duties: To purchase private placements with possible recourse. I*85816 For-Profit Name: Mystic Knights of the Sea LLC Invstmnt rlted: Y Address: Charlotte, NC Position: Owner, Start: 10/1/2015 Hrs devoted: 0 Hrs devoted during trading hours: 0 Duties: LLC with my father and myself only to invest in Falfurrias Capital Fund III I*92795For-Profit Name: The Lodge Hall LLCInvstmnt related: Y Address of business: Charlotte, NC Position: Limited Partner Start: 5/2/16 Hrs devoted: 0 Hrs devoted during trading: 0 Duties: This is a shell company to invest in Lexus IV Fund via private equity. I*52212 For-Profit Name: Columbia Capital VII, LLC Investment related: Y Address of business:, Columbia, SC Position: Ltd Partner Start : 2/27/12Hrs devoted: 0 Hrs devoted during trading hours: 0 Duties: LLC for investments with partners I*116674 For-Profit Name: MMM Capital Partners LLC Investment Related: Y Address: Charlotte, NC 28207 Position: LLC, Limited Partner Start: 8/31/18 1 Hrs: 0 Duties: Private equity investment I*119257 For-Profit Name: Columbia Capital IX Investment Related: Y Address: Columbia, SC 29206 Title: Ltd Prtnr Start: 6/29/15 1 hr Annually 0 During trading Duties: LLC for Tiger IX Name: I*: Columbia Capital VIII Inv Related: Y Address: Columbia, SC 29206 Position: Limited Partner Start: 4/7/2014 1 hr Annually 0 during trading Duties: LLC to invest in Tiger PIP VIII I*129199 For-Profit Name: Columbia Capital XII LLC Investment related: Y Address: Charlotte, NC 28207 Position: General Partner Start: 1/24/2020 Hrs devoted: 2 hrs Annually Hrs devoted during trading hours: 0 Duties: Investing in Tiger Global PIP XI I*136379 For-Profit Name: Columbia Capital XIV LLC Investment related I*1139250 Entity Type: ForProfit Name: Columbia Capital XVI LLC Invstmnt Rlted: N Address: Columbia, SC 29206Position: Gnrl Prtnr/Mnging Member Start: 1/16/20231 hr Mthly 0 during trading Duties: Investment into Tiger PIP 16 I am the LLC mging mbr I*: 2081266 Entity Type: For Profit Name: Weybridge Street Capital LLC Address: Columbia, SC Investment Related: No Position: General Partner/Managing Member Start: 11/07/202 4Hrs: 1 mthly Hrs during trading: 1 mthly Duties: An LLC to hold an underlying investment in RenWaveFund I*3272274, For Profit, Name: Green Mountain Boys Capital Partners LLC, Address: Tega Cay, SC 29708, Investment Related: N, Position: General Partner Start Date: 11/26, No Hours: 2 Yearly No Hours during Trading: 0 Yearly, Duties: None--just wiring money to the entities I*4091266Entity Type: For ProfitName: Columbia Capital XVII LLC Address: Columbia, SC, 29206Investment Related: NoPosition: General Prtnr/Mging Mbr Start: 02/26/26 Hrs: 1,mthly Hrs during trading: 0 Duties: Duties: Duties: LLC to invest int he underlying VC firm Tiger Global XVII, which we have done in the past. Nothing else will go into this

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-05-10
  • S66 Uniform Combined State Law Examination
    2004-05-10
Other Names
  • John M Mccardell

View on SEC IAPD

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