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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 2012-05-09
GA RA APPROVED 2012-05-08
  • TX RA
    APPROVED_RES
    Since 2012-05-09
  • GA RA
    APPROVED
    Since 2012-05-08

Branch Locations

933 Broad St, Augusta, GA 30901 • 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 Augusta GA 05/2012 Present
Bank Of America, N.A. Augusta GA 07/2012 Present
Previous Registrations
Other Businesses

I*1675263FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: GREATER AUGUSTA SPORTS COUNCILINVESTMENT RELATED: NADDRESS OF BUSINESS:AUGSUTA, GEORGIA 30901NATURE OF BUSINESS: CHARITABLE ORGANIZATION,POSITION, TITLE, ASSOCIATION: DIRECTOR, START DATE OF RELATIONSHIP: 1/20/2016NUMBER OF HOURS DEVOTED: 12 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 12DUTIES: BOARD MEMBER INVOLVED IN MAKING RECOMMENDATIONS TO THE EXECUTIVE DIRECTOR ABOUT SPORTING EVENTS AND ACTIVITIES TO ATTRACT TO THE AREA TO BENEFIT THE COMMUNITY AS A WHOLE. I*2431271, Entity Type: Entity For Profit, Name of OBA: Whit's End Hockey, LLC, Address: Evans, Georgia, 30809, Investment Related: N, Position, Title, Association: General Partner/Managing Member, Employee State Date: 05/09/2025, No Hours: 10 Monthly, No Hours during Trading: 0 Monthly, Duties: I will have full control over Whit's End Hockey, LLC and the sole purpose of Whit's End Hockey, LLC is to be a silent partner in the minor league hockey team in Augusta with no voting rights or control in said hockey team.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-07-12
  • S66 Uniform Combined State Law Examination
    2005-07-12

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