Carole Bauman

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2012-10-17
FL	RA	APPROVED	2012-10-15

TX RA
APPROVED

Since 2012-10-17
FL RA
APPROVED

Since 2012-10-15

Branch Locations

9000 Southside Blvd Bldg 600, Jacksonville, FL 32256 • United States

One Bryant Park, New York, NY 10036 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Jacksonville	FL	07/2012	Present
Bank Of America N.A.	Jacksonville	FL	09/2012	Present

07/2012 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Jacksonville, FL
09/2012 → Present

Bank Of America N.A.

Jacksonville, FL

Other Businesses

I*70960 FOR-PROFIT ORGANIZATION - MISCELLANY GIFTS, JACKSONVILLE, FLORIDA 32246 - INVESTMENT RLT'D - NO, HRS DEVOTED TO ACTIVITY - 40, HRS DURING TRADING - 0, DATE ACTIVITY BEGAN 04/02/14, POSITION - OWNER; WOULD LIKE TO SELL GIFTS/CRAFTS ON EBAY OR SPECIAL EVENTS; FOR THIS ACTIVITY MUST PROCURE A BUSINESS LICENSE TO BE ABLE TO PURCHASE MERCHANDISE WHOLESALE.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2012-10-11

S66 Uniform Combined State Law Examination

2012-10-11

Other Names

Carole Shafer
Carole D Bauman

View on SEC IAPD

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosures

Employment History

Other Businesses

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews