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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2022-03-09
WV RA APPROVED 2011-03-10
  • SC RA
    APPROVED
    Since 2022-03-09
  • WV RA
    APPROVED
    Since 2011-03-10

Branch Locations

500 Lee St E, Charleston, WV 25301 • United States

Charleston, WV • 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 Charleston WV 03/2011 Present
Bank Of America, N.A. Charleston WV 06/2011 Present
Previous Registrations
  • 2007-06-04 → 2011-03-09
    J.J.B. Hilliard, W.L. Lyons, Llc
    Charleston, WV
Other Businesses

I*6304Entity Type: Rental PropertyName of outside business organization: J. and C. O.Investment related: NoAddress of business: Charleston, West Virginia 25314Position, title, association: Co-owner with other family membersStart date of relationship: 6/1/2018Number of hours devoted: 2 hoursNumber of hours devoted during trading hours: 0Duties: Co-owner with other family members of rental property I*: 2512281Entity Type: Fiduciary roleName of OBA: O. L O.Address: Charleston, West Virginia, 25314Investment Related: NoPosition, Title, Association: Power of AttorneyEmployee Start Date: 6/3/2025Number of Hours: 0Number of Hours during trading: 0Duties: Power of Attorney for ParentsI*2626273, Entity Type Not for Profit, Name of OBA: YMCA Address: CharlestonWest Virginia25311 Investment Related: No Position, Title, Association: No position or title, just fundraising for their annual dinner Employee Start Date:07/21/2025 No Hours: 1 weekly No Hours during trading: 0 Duties: Fundraising, The YMCA is the leading nonprofit committed to strengthening individuals and communities across the country. At the Y, we're here to help you find your "why" - your greater sense of purpose - by connecting you with opportunities to improve your health, support young people, make new friends and contribute to a stronger, more cohesive community for all.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-06-01
  • S66 Uniform Combined State Law Examination
    2007-06-01
Other Names
  • James Morris O"Connor

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