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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2012-08-16
NC RA APPROVED 2005-05-04
  • TX RA
    APPROVED_RES
    Since 2012-08-16
  • NC RA
    APPROVED
    Since 2005-05-04

Branch Locations

6000 Fairview Rd, Charlotte, NC 28210 • 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 01/2005 Present
Bank Of America, N.A. Charlotte NC 11/2009 Present
Other Businesses

1.FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION2.NAME OF OUTSIDE BUSINESS ORGANIZATION: JACOB AND JILL HOLDINGS L.L.C.3.INVESTMENT RELATED: N4.ADDRESS OF BUSINESS: CHARLOTTE, NORTH CAROLINA 282075.NATURE OF BUSINESS: LLC,7.POSITION, TITLE, ASSOCIATION: OFFICER, 8.START DATE OF RELATIONSHIP: 4/19/20139.NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLY10.NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 011.DUTIES: HOME FURNISHINGS COMPANY VICE PRESIDENT, OVERSEE AND APPROVE BUYINGI*1844333, Entity Type, Name of OBA: Dagger and Key Corp Address: charotteNorth Carolina28210 Investment Related: No Position, Title, Association: Officer Employee Start Date: 05/09/2024 No Hours: 2 Monthly No Hours during trading: 0 Duties: This is a student housing project in Boone NC. I've been president of Iota Psi corporation for 10+ yrs, the role is the same, i preside over a board of fraternity alumni and we manage a property for the benefit of the chapter. Dagger and Key was set up to replace Iota Psi because the chapter is starting a new project. I*2031278, Entity Type, Entity Charitable, Name of OBA: Eastover School PTA, Address: Charlotte, NC, 28207, Investment Related: No, Position, Title, Association: Board Member, Employee Start Date: 09/04/2024, No Hours: 2hrs/Mo, No Hours during trading: 1, Duties: At Large member of my children's school PTA board. I*364272 Entity Type: N/A Name of OBA:Iota Psi Alumni Association Address:Charlotte North Carolina Investment Related:No Position, Title, Association:N/A Start Date:01/10/2010 No Hours: 5 Yearly No Hours during trading:0 Yearly Duties:board position fraternity alumni Coordinate communication

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-05-03
  • S66 Uniform Combined State Law Examination
    2005-05-03

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