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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2017-04-24
TX RA APPROVED 2017-04-21
  • NJ RA
    APPROVED
    Since 2017-04-24
  • TX RA
    APPROVED
    Since 2017-04-21

Branch Locations

139 Route 130 S, Cinnaminson, NJ 08077 • 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
Jpmorgan Chase Bank Livingston NJ 10/2012 02/2017
Jp Morgan Securities Livingston NJ 10/2012 02/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Pennington NJ 02/2017 Present
Bank Of America, N.A. Pennington NJ 04/2017 Present
  • 10/2012 → 02/2017
    Jpmorgan Chase Bank
    Livingston, NJ
  • 10/2012 → 02/2017
    Jp Morgan Securities
    Livingston, NJ
  • 02/2017 → Present
    Pennington, NJ
  • 04/2017 → Present
    Bank Of America, N.A.
    Pennington, NJ
Previous Registrations
Other Businesses

NAME OF ENTITY: (SELF) POSITION: OWNER / LANDLORD - RENTAL PROPERTY DETAILS LAWRENCEVILLE, NJ. 08648 START DATE 11/1/14, 0 HOURS PER MONTH DEVOTED TO BUSINESS, 0 HOURS DURING SECURITIES TRADING, NON INVESTMENT RELATED. I*103571 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: LYFT INVESTMENT RELATED: N ADDRESS OF BUSINESS: EWING, NEW JERSEY 8628 NATURE OF BUSINESS: OTHER,INDEPENDENT CONTRACTOR POSITION, TITLE, ASSOCIATION: PART-TIME, START DATE OF RELATIONSHIP: 3/18/2017 NUMBER OF HOURS DEVOTED: 20 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: DRIVER FOR A ONLINE RIDE SHARE SERVICE

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-04-20
  • S66 Uniform Combined State Law Examination
    2017-04-20
Other Names
  • Wesley Ray Underwood
  • Wesley Ray Underwood
  • Wesley Ray Underwood Jr
  • Wesley Ray Underwood
  • Wesley Ray Underwood
  • Wesley Ray Underwood
  • Wesley Ray Underwood
  • Wesley Ray Underwood

View on SEC IAPD

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