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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 2024-01-22
TX RA APPROVED_RES 2022-03-29
CA RA APPROVED 2022-03-18
  • NC RA
    APPROVED
    Since 2024-01-22
  • TX RA
    APPROVED_RES
    Since 2022-03-29
  • CA RA
    APPROVED
    Since 2022-03-18

Branch Locations

620 S Tryon St, 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Chandler AZ 02/2021 Present
Ack Marine And General Contracting Quincy MA 05/2019 01/2021
Winning Pitcher Academy Framingham MA 01/2015 02/2019
New England College Of Business Boston MA 01/2017 10/2019
Bank Of America, N.A. Chandler AZ 11/2023 Present
  • 02/2021 → Present
    Chandler, AZ
  • 05/2019 → 01/2021
    Ack Marine And General Contracting
    Quincy, MA
  • 01/2015 → 02/2019
    Winning Pitcher Academy
    Framingham, MA
  • 01/2017 → 10/2019
    New England College Of Business
    Boston, MA
  • 11/2023 → Present
    Bank Of America, N.A.
    Chandler, AZ
Other Businesses

I*1157263For profit or not for profit: Entity For ProfitName of outside business organization: Christopher Kingsley Investment related: NAddress of business: stafford, Arizona, 85546Nature of business: ["Sole Proprietorship"]Position, title, association: ["Owner"], Start date of relationship: 5/31/2022Number of hours devoted: 10 hour(s) WeeklyNumber of hours devoted during trading hours: 0Duties: , Flipped a house. I*1276309For profit or not for profit: Entity For ProfitName of outside business organization: KRK Holdings LLCInvestment related: NAddress of business: Bridgewater, Massachusetts, 02324Nature of business: ["Limited Liability Company"]Position, title, association: ["Owner"], Start date of relationship: 5/12/2023Number of hours devoted: 2 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: , Landlord and initial deposit in the property. I*4724274, Entity Type: Entity For Profit, Name of OBA: Apex Sunshine Stays LLC, Address: Lakeville, Massachusetts, 02347, Investment Related: N, Position, Title, Association: ["General Partner/Managing Member"], Employee Start Date: 05/18/2026, No Hours: 5 Monthly, No Hours during Trading: 0 Monthly, Duties: Investor and member of the LLC. Real estate investments making an offer on 1 property for short term rental

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-03-17
  • S66 Uniform Combined State Law Examination
    2022-03-17

View on SEC IAPD

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