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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2024-10-17
  • CO RA
    APPROVED
    Since 2024-10-17

Branch Locations

6400 S Fiddlers Green Cir, Greenwood Village, CO 80111 • 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
University Of Alabama - Huntsville / Propulsion Research Center Huntsville AL 08/2015 05/2018
Radiobro Inc Huntsville AL 06/2016 06/2018
Fastenal Murray KY 07/2018 06/2021
Fidelity Investments Denver CO 06/2021 09/2024
Murray State University Murray KY 08/2018 05/2021
University Of Alabama - Huntsville Huntsville AL 08/2015 05/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated Greenwood Village CO 09/2024 Present
Bank Of America, N.A. Greenwood Village CO 11/2024 Present
  • 08/2015 → 05/2018
    University Of Alabama - Huntsville / Propulsion Research Center
    Huntsville, AL
  • 06/2016 → 06/2018
    Radiobro Inc
    Huntsville, AL
  • 07/2018 → 06/2021
    Fastenal
    Murray, KY
  • 06/2021 → 09/2024
    Fidelity Investments
    Denver, CO
  • 08/2018 → 05/2021
    Murray State University
    Murray, KY
  • 08/2015 → 05/2018
    University Of Alabama - Huntsville
    Huntsville, AL
  • 09/2024 → Present
    Greenwood Village, CO
  • 11/2024 → Present
    Bank Of America, N.A.
    Greenwood Village, CO
Previous Registrations
  • 2022-09-07 → 2024-09-18
    Fidelity Personal And Workplace Advisors
    Greenwood Village, CO
Other Businesses

I*2048397, Entity Type, Entity for Profit, Name of OBA: The TCG Brokers LLC, Address: Denver, CO, 80221, Investment Related: No, Position, Title, Association: General Partner/Managing Member, Owner, Employee Start Date: 10/14/2024, No Hours: 7hrs/Weekly, No Hours during trading: 0, Duties: Purpose of the entity is a small (currently online) hobby shop presence to offer retail selling of game supplies (board games and cards) and related hobby supplies (paint and materials). Main platforms of use are eBay, TCG Player, and own website thetcgbrokers.com. My responsibilities will be oversight and facilitation of business operations that will require an average of 5 to 10 hours at most a week (typically on the weekends). There will be currently a single employee handling day to day operations as a 1099 contractor. This entity will have no affiliations to the finance industry or related fields that could conflict with Merrilll/BofA job duties. The only financial handling will be a singular Business Checking Account opened through BofA.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-06-30
S63 Uniform Securities Agent State Law Examination 2021-12-03
  • S66 Uniform Combined State Law Examination
    2022-06-30
  • S63 Uniform Securities Agent State Law Examination
    2021-12-03
Other Names
  • Jarod Skyler Matlock
  • Jarod S Matlock

View on SEC IAPD

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