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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-07-09
TX RA APPROVED_RES 2021-08-13
MD RA APPROVED 2021-07-21
  • FL RA
    APPROVED
    Since 2024-07-09
  • TX RA
    APPROVED_RES
    Since 2021-08-13
  • MD RA
    APPROVED
    Since 2021-07-21

Branch Locations

9000 Southside Blvd Ci Client Management, Jacksonville, FL 32256 • 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Main Street Tower Bel Air MD 03/2013 Present
Axa Advisors, Llc Columbia MD 01/2015 10/2019
Mml Investors Services Hunt Valley MD 11/2019 05/2021
Massmutual Hunt Valley MD 10/2019 05/2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated Hunt Valley MD 05/2021 Present
Bank Of America, N.A. Hunt Valley MD 07/2021 Present
  • 03/2013 → Present
    Main Street Tower
    Bel Air, MD
  • 01/2015 → 10/2019
    Axa Advisors, Llc
    Columbia, MD
  • 11/2019 → 05/2021
    Mml Investors Services
    Hunt Valley, MD
  • 10/2019 → 05/2021
    Massmutual
    Hunt Valley, MD
  • 05/2021 → Present
    Hunt Valley, MD
  • 07/2021 → Present
    Bank Of America, N.A.
    Hunt Valley, MD
Previous Registrations
Other Businesses

1)NAME:MAIN STREET TOWER INV REL:N ADDR: ST BEL AIR MD 21014 NATURE:RESTAURANT/BAR POSITION:BARTENDER/MANAGER START:6/1/2012 NO HR/MO:20 NO HR/MO DUR TRADING:0 2)NAME:GARRISON ADVISORS, INV REL:Y ADDR: HUNT VALLEY MD NATURE:LIFE INSURANCE, HEALTH, GROUP LIFE, GROUP HEALTH, DISABILITY, LTC AND FIXED ANNUITIES POSITION:AGENT START:10/17/19 NO HR/MO:5 NO HR/MO DUR TRADING:5.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-06-16
S63 Uniform Securities Agent State Law Examination 2015-10-01
  • S65 Uniform Investment Adviser Law Examination
    2016-06-16
  • S63 Uniform Securities Agent State Law Examination
    2015-10-01
Other Names
  • Jason Hardesty
  • Jason Michael Hardesty

View on SEC IAPD

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