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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 2025-05-30
SC RA APPROVED 2025-03-05
  • TX RA
    APPROVED
    Since 2025-05-30
  • SC RA
    APPROVED
    Since 2025-03-05

Branch Locations

525 Washington Blvd Central Business Review Unit, Jersey City, NJ 07310 • United States

75 Port City Lndg, Mount Pleasant, SC 29464 • 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 Mount Pleasant SC 09/2011 Present
Johns Island Post Acute Johns Island SC 03/2019 Present
Health Care Navigator, Llc Johns Island SC 12/2017 03/2019
Other Businesses

Name of the other businessJohns Island Post AcuteWhether the business is investment-relatedNot investment relatedAddress of the other businessJohns Island SC 29455Nature of the other businessNursing HomeYour positionSpeech Language PathologistTitle, or relationship with the other businessSpeech Language PathologistStart date of your relationship3/2019Approximate number of hours/month you devote to the other businessUp to 10 hours/monthNumber of hours you devote to the other business during securities trading hoursnoneBriefly describe your duties relating to the other businessProvide speech therapy for inpatient rehab. I*454156, Entity Type, Entity for Profit, Name of OBA: Halcyon Rehabilitation/Johns Island Rehab Healthca, Address: Johns Island, SC, 29455, Investment Related: No, Position, Title, Association: Other, Employee Start Date: 12/26/2017, No Hours: 10hrs/Mo, No Hours during trading: 0, Duties: Speech-Language pathologist. I will work a few days on the weekends per month.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-03-03
  • S66 Uniform Combined State Law Examination
    2025-03-03
Other Names
  • Courtney Carol Baker

View on SEC IAPD

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