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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 2010-02-26
VA RA APPROVED 2008-08-05
  • TX RA
    APPROVED
    Since 2010-02-26
  • VA RA
    APPROVED
    Since 2008-08-05

Branch Locations

110 Franklin Rd Se, Roanoke, VA 24011 • United States

Troutville, VA • 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 Roanoke VA 05/2008 Present
Bank Of America, N.A. Roanoke VA 11/2009 Present
Other Businesses

I*90164 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL PROPERTY OWNED MY ME INVESTMENT RELATED: N ADDRESS OF BUSINESS: ROSEVILLE, MINNESOTA 55113 NATURE OF BUSINESS: SOLE PROPRIETORSHIP, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 9/1/2014 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: RENTED HOME

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-08-01
  • S66 Uniform Combined State Law Examination
    2008-08-01
Other Names
  • David C. Lloyd

View on SEC IAPD

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