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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
WV RA APPROVED 2019-07-12
  • WV RA
    APPROVED
    Since 2019-07-12

Branch Locations

500 Lee St E, Charleston, WV 25301 • 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 Charleston WV 02/2019 Present
Daily Gazette Company Charleston WV 02/1998 11/2018
Charleston Newspapers Charleston WV 05/2004 03/2018
Unemployed Charleston WV 12/2018 02/2019
Bank Of America, N.A. Charleston WV 04/2019 Present
  • 02/2019 → Present
    Charleston, WV
  • 02/1998 → 11/2018
    Daily Gazette Company
    Charleston, WV
  • 05/2004 → 03/2018
    Charleston Newspapers
    Charleston, WV
  • 12/2018 → 02/2019
    Unemployed
    Charleston, WV
  • 04/2019 → Present
    Bank Of America, N.A.
    Charleston, WV
Other Businesses

I*: 707295Entity Type: GovernmentalName of OBA: Central West Virginia Regional Airport AuthorityAddress: Charleston, WV 25311Investment Related: NoPosition, Title, Association: Board memberEmployee Start Date: 02/02/2022Number of Hours: 1 hr mthlyNumber of Hours during trading: 0 Duties: The Board votes to support the leadership of the airport. As a Board Member representing the City of Charleston, assist the airport to insure its place as an important asset in our community. I*2835275, Entity Type: , Name of OBA: N W S, IV IRREVOCABLE TRUST, Address: CHARLESTON, West Virginia, 25314, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 09/09/2025, No Hours: 1 Yearly, No Hours during Trading: 0 Yearly, Duties: I*2835276, Entity Type: , Name of OBA: C G S IRREVOCABLE TRUST, Address: CHARLESTON, West Virginia, 25314, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 09/09/2025, No Hours: 1 Yearly, No Hours during Trading: 0 Yearly, Duties: I*2835277, Entity Type: , Name of OBA: W E C S IRREVOCABLE TRUST, Address: CHARLESTON, West Virginia, 25314, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 09/09/2025, No Hours: 1 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-06-27
  • S66 Uniform Combined State Law Examination
    2019-06-27
Other Names
  • Trip Shumate
  • Norman Shumate

View on SEC IAPD

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