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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 2022-03-14
WV RA APPROVED 2020-06-29
  • TX RA
    APPROVED_RES
    Since 2022-03-14
  • WV RA
    APPROVED
    Since 2020-06-29

Branch Locations

2000 Jerry Dove Dr, Bridgeport, WV 26330 • 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
Bb&T Bank Clarksburg WV 09/2012 01/2019
Bb&T Investment Services, Inc. Clarksburg WV 09/2012 01/2019
Bb&T Securities, Llc Clarksburg WV 01/2018 01/2019
Cambridge Investment Research, Inc. Fairfield IA 01/2019 02/2020
Cambridge Investment Research Advisors, Inc. Fairfield IA 01/2019 02/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bridgeport WV 05/2020 Present
Unemployed Clarksburg WV 03/2020 04/2020
Bank Of America, N.A. Bridgeport WV 06/2020 Present
  • 09/2012 → 01/2019
    Bb&T Bank
    Clarksburg, WV
  • 09/2012 → 01/2019
    Bb&T Investment Services, Inc.
    Clarksburg, WV
  • 01/2018 → 01/2019
    Bb&T Securities, Llc
    Clarksburg, WV
  • 01/2019 → 02/2020
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 01/2019 → 02/2020
    Fairfield, IA
  • 05/2020 → Present
    Bridgeport, WV
  • 03/2020 → 04/2020
    Unemployed
    Clarksburg, WV
  • 06/2020 → Present
    Bank Of America, N.A.
    Bridgeport, WV
Previous Registrations
  • 2019-01-25 → 2020-02-13
    Clarksburg, WV
  • 2018-01-02 → 2019-01-22
    Bb&T Securities, Llc
    Charlotte, NC
    Clarksburg, WV
  • 2012-10-24 → 2018-01-02
    Bb&T Investment Services, Inc.
    Charlotte, NC
    Clarksburg, WV
  • 2011-09-09 → 2012-09-12
    St Louis, MO
    Nutter Fort, WV
    Fairmont, WV
Other Businesses

Name of other Business: JC3 LLC Investment related (yes or no): no Business address (City, State): 612 W. Milford St. Clarksburg, WV. 26301 Nature of business: Real Estate Position/title: Owner Relationship with business: Owner Start date of relationship: 2018 Number of hours a month devoted to business: 1 Number of hours during securities trading hours devoted to business:0 Description of duties: This is just a shell with no current holdings at this time.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-08-11
  • S66 Uniform Combined State Law Examination
    2011-08-11

View on SEC IAPD

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