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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 2012-06-15
GA RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2012-06-15
  • GA RA
    APPROVED
    Since 2009-10-23

Branch Locations

3 Skidaway Village Sq, Savannah, GA 31411 • United States

Savannah, GA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Savannah GA 10/2009 Present
Bank Of America, N.A. Savannah GA 07/2011 Present
Previous Registrations
  • 2003-10-03 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Savannah, GA
    Brunswick, GA
    Savannah, GA
  • 2002-12-20 → 2003-10-07
    Morgan Stanley Dw Inc.
    Savannah, GA
Other Businesses

I*: 2244371 Entity Type: For Profit Name of OBA: 3rd St, LLC Address: Tuscalooosa, AL 35401 Investment Related: No Position, Title, Association: Owner Employee Start Date: 1/30/2025 Number of Hours: 30 hrs annually Number of Hours during trading: 0 Duties: This is a house that my daughter will live in while attending college. I created an LLC for protection, she will have 2 room mates that will pay rent to live in the house. My wife and I are 50% owners in the LLC that the home is titled in.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-05-04
  • S66 Uniform Combined State Law Examination
    2000-05-04

View on SEC IAPD

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