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Chadwick Withers Allen

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Charlotte, 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 2025-08-12
  • NC RA
    APPROVED
    Since 2025-08-12

Branch Locations

620 S Tryon St, Charlotte, NC 28255 • 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 Incorporated Charlotte NC 05/2021 Present
Bank Ozk Charlotte NC 11/2018 05/2021
Cadence Bank (Formerly State Bank & Trust) Atlanta GA 04/2018 11/2018
New York Mortgage Trust Charlotte NC 01/2018 04/2018
Regions Bank Atlanta GA 03/2016 12/2017
Bank Of America, N.A. Charlotte NC 08/2025 Present
  • 05/2021 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Charlotte, NC
  • 11/2018 → 05/2021
    Bank Ozk
    Charlotte, NC
  • 04/2018 → 11/2018
    Cadence Bank (Formerly State Bank & Trust)
    Atlanta, GA
  • 01/2018 → 04/2018
    New York Mortgage Trust
    Charlotte, NC
  • 03/2016 → 12/2017
    Regions Bank
    Atlanta, GA
  • 08/2025 → Present
    Bank Of America, N.A.
    Charlotte, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-02-15
  • S66 Uniform Combined State Law Examination
    2025-02-15
Other Names
  • Chad Allen

View on SEC IAPD

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