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Jeffrey D Spitz

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Charlotte, NC

North Topsail Beach, NC

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2002-03-28
TX RA APPROVED_RES 2001-06-08
  • NC RA
    APPROVED
    Since 2002-03-28
  • TX RA
    APPROVED_RES
    Since 2001-06-08

Branch Locations

6000 Fairview Rd, Charlotte, NC 28210 • United States

North Topsail Beach, NC • 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, Inc. South Park/Charlotte NC 05/2000 Present
Bank Of America, N.A. Charlotte NC 05/2011 Present
  • 05/2000 → Present
    Merrill Lynch, Pierce, Fenner & Smith, Inc.
    South Park/Charlotte, NC
  • 05/2011 → Present
    Bank Of America, N.A.
    Charlotte, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-03-30
S66 Uniform Combined State Law Examination 2000-07-06
  • S65 Uniform Investment Adviser Law Examination
    2006-03-30
  • S66 Uniform Combined State Law Examination
    2000-07-06

View on SEC IAPD

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