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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 2020-10-12
  • NC RA
    APPROVED
    Since 2020-10-12

Branch Locations

800 Green Valley Rd, Greensboro, NC 27408 • United States

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 Greensboro NC 02/2020 Present
Carruthers & Roth, Pa Greensboro NC 06/2004 01/2020
Other Businesses

I*130180 For profit or not for profit: For-Profit Organization Name of outside business organization: L&P Construction Services, Inc. Investment related: N Address of business: Greensboro, North Carolina 27408 Nature of business: S-Corp, Position, title, association: Family Held, Start date of relationship: 1/1/2007 Number of hours devoted: 0 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: As disclosed during the Bank's interview process, L&P is my husband's construction company and he handles all of the business--I'm generally not involved. I*130179 For profit or not for profit: For-Profit Organization Name of outside business organization: Thomas Lee Ltd. Investment related: N Address of business: Greensboro, North Carolina 27408 Nature of business: S-Corp, Position, title, association: Family Held, Start date of relationship: 5/17/2018 Number of hours devoted: 5 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: As disclosed during the Bank's hiring process, my husband and I own Thomas Lee Ltd., which is an online bedding retailer. My husband handles most of the business. Hill Street LLC not investment related, Sunset Drive, Greensboro, NC 27408, LLC that we use to hold real estate from time to time but currently has no assets, Manager, June 2009, none, none, none. Name of other Business: N/A - we own the house in our individual names so there is no entity involved Investment related (yes or no): No, unless a rental house counts as such Business address: Hill Street, Greensboro, NC 27408 Nature of business: rental home Position/title: N/A we own it in our individual names Relationship with business: we own the rental house Start date of relationship: I think we bought it around 2009 or 2010 Number of hours a month devoted to business: none Number of hours during securities trading hours devoted to business: none Description of duties: none

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-10-08
  • S66 Uniform Combined State Law Examination
    2020-10-08
Other Names
  • Elizabeth Southwick Jester

View on SEC IAPD

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