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Brock A Adams

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Raleigh, 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 2026-03-04
NC RA APPROVED 2026-01-22
  • TX RA
    APPROVED_RES
    Since 2026-03-04
  • NC RA
    APPROVED
    Since 2026-01-22

Branch Locations

4242 Six Forks Rd, Raleigh, NC 27609 • 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 Raleigh NC 08/2025 Present
Wells Fargo Raleigh NC 01/2024 08/2025
Modern Woodmen Of America Raleigh NC 08/2022 01/2024
Footlocker Raleigh NC 02/2018 08/2022
Verizon Altamomte Springs FL 06/2016 11/2017
Ups Garner NC 11/2017 02/2018
Bank Of America, N.A. Raleigh NC 11/2025 Present
  • 08/2025 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Raleigh, NC
  • 01/2024 → 08/2025
    Wells Fargo
    Raleigh, NC
  • 08/2022 → 01/2024
    Modern Woodmen Of America
    Raleigh, NC
  • 02/2018 → 08/2022
    Footlocker
    Raleigh, NC
  • 06/2016 → 11/2017
    Verizon
    Altamomte Springs, FL
  • 11/2017 → 02/2018
    Ups
    Garner, NC
  • 11/2025 → Present
    Bank Of America, N.A.
    Raleigh, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-01-21
  • S66 Uniform Combined State Law Examination
    2026-01-21
Other Names
  • Brock Alston Adams

View on SEC IAPD

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ADVISORY SERVICES NETWORK · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
WELLS FARGO CLEARING SERVICES, LLC · RALEIGH, NC
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