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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 2023-04-28
TX RA APPROVED_RES 2023-04-28
  • NC RA
    APPROVED
    Since 2023-04-28
  • TX RA
    APPROVED_RES
    Since 2023-04-28

Branch Locations

401 N Tryon St Ci Relationship Management, Charlotte, NC 28255 • 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
Best Buy Myrtle Beach SC 03/2020 05/2021
Publix Ocean Isle Beach NC 02/2020 03/2020
Food Lion Sunset Beach NC 01/2020 02/2020
Teleflex Maple Grove MN 11/2018 04/2019
Salesforce San Francisco CA 06/2014 09/2018
Unemployed San Francisco CA 09/2018 11/2018
Unemployed San Jose CA 04/2019 09/2019
The Mattress Capital North Myrtle Beach SC 09/2019 12/2019
The Vanguard Group, Inc. Charlotte NC 09/2021 02/2023
The Boundary House Calabash NC 05/2021 07/2021
Self Employed Charlotte NC 08/2021 12/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated Charlotte NC 02/2023 Present
Bank Of America N.A. Charlotte NC 04/2023 Present
  • 03/2020 → 05/2021
    Best Buy
    Myrtle Beach, SC
  • 02/2020 → 03/2020
    Publix
    Ocean Isle Beach, NC
  • 01/2020 → 02/2020
    Food Lion
    Sunset Beach, NC
  • 11/2018 → 04/2019
    Teleflex
    Maple Grove, MN
  • 06/2014 → 09/2018
    Salesforce
    San Francisco, CA
  • 09/2018 → 11/2018
    Unemployed
    San Francisco, CA
  • 04/2019 → 09/2019
    Unemployed
    San Jose, CA
  • 09/2019 → 12/2019
    The Mattress Capital
    North Myrtle Beach, SC
  • 09/2021 → 02/2023
    The Vanguard Group, Inc.
    Charlotte, NC
  • 05/2021 → 07/2021
    The Boundary House
    Calabash, NC
  • 08/2021 → 12/2022
    Self Employed
    Charlotte, NC
  • 02/2023 → Present
    Charlotte, NC
  • 04/2023 → Present
    Bank Of America N.A.
    Charlotte, NC
Other Businesses

I*1926316Entity Type, Name of OBA: Entity For Profit,Entity Publicly TradedLyftAddress: New YorkNew York10001Investment Related: NoPosition, Title, Association: Consultant/Independent ContractorEmployee Start Date: 07/27/2024No Hours: 16No Hours during trading: 0Duties: DriverI*1932321, Entity Type Entity For Profit, Entity Publicly Traded, Name of OBA: Uber Address: San FranciscoCalifornia94158 Investment Related :No Position, Title, Association: Consultant/Independent Contractor Employee Start Date:07/31/2024 No Hours: 10 weekly No Hours during trading: 0 Duties:Drive for Uber I*3639269 Entity Type: Entity For Profit,Entity Publicly Traded Name of OBA: amazon Address: Seattle, Washington, 98108-1226 Investment Related: No Position, Title, Association: Consultant/Independent Contractor Employee Start Date: 01/26/2026 Number of Hours: 10, Weekly Number of Hours during trading: 0, Weekly Duties: DELIVER PACKAGES DRIVE A CAR AND DELIVER PACKAGES

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-04-25
S63 Uniform Securities Agent State Law Examination 2022-01-12
  • S66 Uniform Combined State Law Examination
    2023-04-25
  • S63 Uniform Securities Agent State Law Examination
    2022-01-12
Other Names
  • Shaun Riley
  • Shaun P Riley

View on SEC IAPD

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