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Richard Moll

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Huntersville, NC

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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_RES 2023-02-16
NC RA APPROVED 2022-12-12
  • TX RA
    APPROVED_RES
    Since 2023-02-16
  • NC RA
    APPROVED
    Since 2022-12-12

Branch Locations

8015 W Kenton Cir, Huntersville, NC 28078 • 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 Yes
  • 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 Charlotte NC 05/2019 Present
Irondequoit Country Club Pittsford NY 06/2014 08/2018
University Of North Carolina At Charlotte Charlotte NC 08/2017 08/2020
Monroe Community College Rochester NY 09/2012 05/2017
Bank Of America, N.A. Charlotte NC 07/2022 Present
  • 05/2019 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Charlotte, NC
  • 06/2014 → 08/2018
    Irondequoit Country Club
    Pittsford, NY
  • 08/2017 → 08/2020
    University Of North Carolina At Charlotte
    Charlotte, NC
  • 09/2012 → 05/2017
    Monroe Community College
    Rochester, NY
  • 07/2022 → Present
    Bank Of America, N.A.
    Charlotte, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-12-09
  • S66 Uniform Combined State Law Examination
    2022-12-09
Other Names
  • Rick Moll

View on SEC IAPD

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Other Offices

CORNERSTONE WEALTH · HUNTERSVILLE, NC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Huntersville, NC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Huntersville, NC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Hunterville, NC
CORNERSTONE WEALTH · Huntersville, NC
AMERIPRISE FINANCIAL SERVICES, LLC · Huntersville, NC
MML INVESTORS SERVICES, LLC · Huntersville, NC
RAYMOND JAMES & ASSOCIATES, INC. · HUNTERSVILLE, NC

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