Lei Shan

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
GA	RA	APPROVED	2005-01-12
TX	RA	APPROVED	2005-01-12

GA RA
APPROVED

Since 2005-01-12
TX RA
APPROVED

Since 2005-01-12

Branch Locations

Atlanta, GA • United States

3455 Peachtree Rd Ne, Atlanta, GA 30326 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Atlanta	GA	01/2005	Present
Bank Of America, N.A.	Atlanta	GA	12/2009	Present

01/2005 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Atlanta, GA
12/2009 → Present

Bank Of America, N.A.

Atlanta, GA

Previous Registrations

2003-01-17 → 2005-02-10

Credit Suisse Securities (Usa) Llc

Atlanta, GA
2005-01-07 → 2005-01-10

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Atlanta, GA
1999-01-07 → 2003-01-17

Pershing Llc

Atlanta, GA

Other Businesses

I*94341FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL PROPERTY 1INVESTMENT RELATED: NOADDRESS OF BUSINESS: ATLANTA, GEORGIA 30316NATURE OF BUSINESS: OTHER, RENTAL PROPERTYPOSITION, TITLE, ASSOCIATION: OWNERSTART DATE OF RELATIONSHIP: 5/24/2016NUMBER OF HOURS DEVOTED: 1 HOUR ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: RENTAL PROPERTY, PERSONALLY OWNED.I*94343FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL PROPERTY 2INVESTMENT RELATED: NOADDRESS OF BUSINESS: ATLANTA, GEORGIA 30317NATURE OF BUSINESS: OTHER,RENTAL PROPERTYPOSITION, TITLE, ASSOCIATION: OWNERSTART DATE OF RELATIONSHIP: 5/24/2016NUMBER OF HOURS DEVOTED: 1 HOUR ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: RENTAL PROPERTYI*682235For profit or not for profit: Entity For ProfitName of outside business organization: Lavonia on My Mind, LLCInvestment related: NAddress of business: Atlanta, Georgia, 30306Nature of business: Limited Liability CompanyPosition, title, association: Other Start date of relationship: 1/12/2022Number of hours devoted: 1 hour MonthlyNumber of hours devoted during trading hours: 0Duties: husband's business. administrative and bill pay, check writing and assist with billing and administrative dutyI*: 2198361Entity Type: For ProfitName of OBA: West Rock Creek LLCAddress: Atlanta, GA 31106Investment Related: NoPosition, Title, Association: General Partner/Managing MemberEmployee Start Date: 07/02/2012Number of Hours: 1 hr mthlyNumber of Hours during trading: 0Duties: rental property holding co in a LLC formI*2198366, Entity Type: Entity For Profit, Name of OBA: Lavonia Development LLC, Address: Atlanta, Georgia, 31106, Investment Related: N, Position, Title, Association: General Partner/Managing Member, Employee State Date: 06/08/2021, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties: land holding co LLC This is a piece of raw land that we are planning to hold for investment for resale. No current plan to develop. I*: 2219269 Entity Type: Entity For Profit Name of OBA: AOS of Lavonia LLC Address: Atlanta, GA 31106 Investment Related: n Position, Title, Association: General Partner/Managing Member Employee Start Date: 10/08/2013 No Hours: 0 No Hours during trading:0 Duties: this is a LLC to hold our lake cabin, for liability purposes