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Olivia Major

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Charlotte, NC

Aspen, CO

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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 2024-09-24
TX RA APPROVED 2022-11-11
CO RA APPROVED 2022-10-19
NY RA APPROVED 2022-10-19
  • NC RA
    APPROVED
    Since 2024-09-24
  • TX RA
    APPROVED
    Since 2022-11-11
  • CO RA
    APPROVED
    Since 2022-10-19
  • NY RA
    APPROVED
    Since 2022-10-19

Branch Locations

13510 Ballantyne Corporate Pl, Charlotte, NC 28277 • United States

301 E Hopkins Ave, Aspen, CO 81611 • 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
Bofa Securities, Inc. New York NY 07/2020 09/2021
Washington And Lee University Lexington VA 09/2016 05/2020
Bank Of America Charlotte NC 06/2017 08/2017
Bank Of America New York NY 06/2018 08/2018
Bank Of America New York NY 06/2019 08/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated Aspen CO 09/2021 Present
Bank Of America, N.A. Aspen CO 09/2024 Present
  • 07/2020 → 09/2021
    Bofa Securities, Inc.
    New York, NY
  • 09/2016 → 05/2020
    Washington And Lee University
    Lexington, VA
  • 06/2017 → 08/2017
    Bank Of America
    Charlotte, NC
  • 06/2018 → 08/2018
    Bank Of America
    New York, NY
  • 06/2019 → 08/2019
    Bank Of America
    New York, NY
  • 09/2021 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Aspen, CO
  • 09/2024 → Present
    Bank Of America, N.A.
    Aspen, CO
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-10-17
S63 Uniform Securities Agent State Law Examination 2020-11-02
  • S65 Uniform Investment Adviser Law Examination
    2022-10-17
  • S63 Uniform Securities Agent State Law Examination
    2020-11-02
Other Names
  • Olivia J Finby
  • Olivia Finby
  • Olivia Jane Finby

View on SEC IAPD

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