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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 2011-05-06
AL RA APPROVED 2011-04-12
  • TX RA
    APPROVED
    Since 2011-05-06
  • AL RA
    APPROVED
    Since 2011-04-12

Branch Locations

3674 Dauphin St, Mobile, AL 36608 • 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 &Amp; Smith, Inc Mobile AL 01/2011 Present
Bank Of America Na Mobile AL 02/2011 Present
  • 01/2011 → Present
    Merrill Lynch, Pierce, Fenner &Amp; Smith, Inc
    Mobile, AL
  • 02/2011 → Present
    Bank Of America Na
    Mobile, AL
Other Businesses

I*1921260, Entity Type, Entity Charitable, Name of OBA: Archdiocese of Mobile, Address: Mobile, AL, 36602, Investment Related: No, Position, Title, Association: Board Member, Employee Start Date: 09/30/2024, No Hours: 10hrs/Annually, No Hours during trading: 0, Duties: I will communicate financial data from the accountants to the board regarding the needs of sick and retired priests within the Archdiocese of Mobile. I will not give any investment advice, execute any financial transactions or lead any fundraising. I*3523287Entity Type: Fiduciary roleName of OBA: W. L H.Address: Philadelphia, Mississippi, 39350Investment Related: NoPosition, Title, Association: Power of AttorneyEmployee Start Date: 01/01/2016Number of Hours: 5, YearlyNumber of Hours during trading: 5, YearlyDuties: Power or Attorney/Nephew I*3716266, Entity Type: , Name of OBA: St. Mary Parish, Address: Mobile, Alabama, 36604, Investment Related: N, Position, Title, Association: Committee, Employee Start Date: 01/01/2015, No Hours: 1 Monthly, No Hours during Trading: 1 Monthly, Duties: Budgeting and planning advice for the parish and school at quarterly meetings. I will not have access to funds or checkwritingFinance Council Committee Member: I will act in an advisory role to help the parish and school with budgets and planning for the year. I will not have access to funds or checkwriting ability.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-04-11
  • S66 Uniform Combined State Law Examination
    2011-04-11
Other Names
  • Archie Joseph Legrone

View on SEC IAPD

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