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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2021-07-30
  • VA RA
    APPROVED
    Since 2021-07-30

Branch Locations

1111 E Main St, Richmond, VA 23219 • United States

Glen Allen, VA • 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
Wellington Shields & Co., Llc New York NY 11/2009 02/2017
Morgan Stanley Richmond VA 02/2017 07/2021
Morgan Stanley Private Bank, National Association New York NY 03/2017 07/2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated Richmond VA 07/2021 Present
Bank Of America, N.A. Richmond VA 08/2021 Present
  • 11/2009 → 02/2017
    Wellington Shields & Co., Llc
    New York, NY
  • 02/2017 → 07/2021
    Richmond, VA
  • 03/2017 → 07/2021
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 07/2021 → Present
    Richmond, VA
  • 08/2021 → Present
    Bank Of America, N.A.
    Richmond, VA
Previous Registrations
Other Businesses

I*2835298Entity Type: For ProfitName of OBA: Seasonal RootsAddress:glen allen VirginiaInvestment Related:NoPosition, Title, Association:EmployeeStart Date:10/01/2025No Hours: 3 WeeklyNo Hours during trading:0 WeeklyDuties:Business that my wife is startingoccasional deliveriesI*2835299Entity Type: For Profit, Publicly TradedName of OBA: DoorDashAddress:san Francisco CaliforniaInvestment Related:NoPosition, Title, Association:EmployeeStart Date:09/12/2025No Hours: 3 WeeklyNo Hours during trading:0 WeeklyDuties:delivery service for a food/meal service my wife is startingfood delivery outside of business hours I*3096265 Entity Type: Entity For Profit Name of OBA: Running Clean, LLC Address: Glen Allen, Virginia, 23059 Investment Related: No Position, Title, Association: Employee,Owner Employee Start Date: 11/15/2025 Number of Hours: 2, Weekly Number of Hours during trading: 0, Weekly Duties: My wife's company Occasional deliveries to customers outside of my normal business hours (evenings, weekends).

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-03-30
S63 Uniform Securities Agent State Law Examination 2006-10-27
  • S66 Uniform Combined State Law Examination
    2017-03-30
  • S63 Uniform Securities Agent State Law Examination
    2006-10-27
Other Names
  • Theodore M Walkley
  • Tad Walkley

View on SEC IAPD

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