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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 2020-05-28
TN RA APPROVED 2019-06-24
  • TX RA
    APPROVED
    Since 2020-05-28
  • TN RA
    APPROVED
    Since 2019-06-24

Branch Locations

341 Cool Springs Blvd, Franklin, TN 37067 • 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 Franklin TN 02/2019 Present
Motorola Solutions Chicago IL 06/2016 04/2018
Nashville Communications Nashville SD 04/2018 02/2019
Belmont University Nashville TN 01/2019 04/2019
Bank Of America, N.A. Franklin TN 05/2019 Present
  • 02/2019 → Present
    Franklin, TN
  • 06/2016 → 04/2018
    Motorola Solutions
    Chicago, IL
  • 04/2018 → 02/2019
    Nashville Communications
    Nashville, SD
  • 01/2019 → 04/2019
    Belmont University
    Nashville, TN
  • 05/2019 → Present
    Bank Of America, N.A.
    Franklin, TN
Other Businesses

I*: 1002270 Name of OBA: Old Hickory Baseball Club, Address: Nashville, Tennessee, Investment Related: No Position, Title: Other Employee Start Date: 5/20/2023, No Hours: 6, Weekly, No Hours during trading: 0 Duties: This is a 17 and under baseball team that I have been asked to coach on the weekends in the Summer I*4434278 Entity Type: For Profit, Publicly Traded Name of OBA: DoorDash Address: San Francisco, California, 94107 Investment Related: No Position, Title, Association: Other Employee Start Date: 04/20/2026 Number of Hours: 5, Weekly Number of Hours during trading: 0 Duties: Food delivery service. Delivering food from participating restaurants to users of the app

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-06-20
  • S66 Uniform Combined State Law Examination
    2019-06-20
Other Names
  • Richard Carter

View on SEC IAPD

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