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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 2023-01-11
FL RA APPROVED 2023-01-05
  • TX RA
    APPROVED
    Since 2023-01-11
  • FL RA
    APPROVED
    Since 2023-01-05

Branch Locations

824 A1A N, Ponte Vedra Beach, FL 32082 • 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
Raymond James & Associates Jacksonville FL 01/2014 01/2023
Merrill Lynch, Pierce, Fenner & Smith Incorporated Ponte Vedra Beach FL 01/2023 Present
Bank Of America N.A. Ponte Vedra Beach FL 03/2023 Present
Previous Registrations
Other Businesses

(1)Name of Business: Scout & Cellar Address: 385 Sanctuary Dr , Saint Johns , FL, 32259, United States Activity Type: Other Position/Title: Independent Contractor Investment Related: No Start Date: 03/09/2020 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: As a consultant, my only requirement from Scout and Cellar is to sell $600/ year, which will be done just on my own from buying wine personally over the year.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-04-30
  • S66 Uniform Combined State Law Examination
    2008-04-30
Other Names
  • Leslie Ray Dix
  • Leslie Dix-Kwiatek
  • Leslie Dix

View on SEC IAPD

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