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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 2018-07-05
WV RA APPROVED 2015-02-12
  • TX RA
    APPROVED
    Since 2018-07-05
  • WV RA
    APPROVED
    Since 2015-02-12

Branch Locations

500 Lee St E, Charleston, WV 25301 • 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
United Bank Charleston WV 06/1999 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Charleston WV 02/2015 Present
Bank Of America, N.A. Charleston WV 04/2015 Present
Previous Registrations
Other Businesses

(1)UNITED BANK,CHAS.WV:WEALTH MGN/DIRECTOR CHIEF INVESTMENT OFFICER,FULL/TIME START 06/15/1999,INVESTMENT RELATED. KANAWHA ROXALANA CO.,CHAS.WV: VP,ESTATE MGN CO. 5HRS MTHLY. (2)I*78854 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: KANAWHA-ROXALANA COMPANY INVESTMENT RELATED: Y ADDRESS OF BUSINESS: CHARLESTON, WEST VIRGINIA 25314 NATURE OF BUSINESS: S-CORP, POSITION, TITLE, ASSOCIATION: OFFICER, START DATE OF RELATIONSHIP: 12/17/1999 NUMBER OF HOURS DEVOTED: 5 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 2 DUTIES: FAMILY LAND COMPANY THAT PURCHASES AND SELLS COMMERCIAL PROPERTIES AND NEGOCIATES LEASES IN THE CHARLESTON MSA. I WORK WITH THE PRESIDENT (MY FATHER) AND A PROPERTY MANAGEMENT AGENT TO EVALUATE REAL ESTATE INVESTMENTS AND NEGOCIATE LEASES. I*79746 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: CAMC FOUNDATION INVESTMENT RELATED: Y ADDRESS OF BUSINESS: CHARLESTON, WEST VIRGINIA 25304 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 1/1/2014 NUMBER OF HOURS DEVOTED: 4 HOUR(S) QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 4 DUTIES: SERVE ON THE BOARD OF THE HOSPITAL FOUNDATION AND AS CHAIR OF THE INVESTMENT COMMITTEE.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-02-11
  • S66 Uniform Combined State Law Examination
    2015-02-11

View on SEC IAPD

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