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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 2026-06-10
NC RA APPROVED 2026-05-02
  • TX RA
    APPROVED
    Since 2026-06-10
  • NC RA
    APPROVED
    Since 2026-05-02

Branch Locations

502 S College Rd, Wilmington, NC 28403 • 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 Wilmington NC 07/2019 Present
Am Retail Group Inc. Brooklyn Park MN 08/2016 07/2019
Essential Services Banner Elk NC 04/2006 12/2017
Bank Of America, N.A. Wilmington NC 02/2026 Present
  • 07/2019 → Present
    Wilmington, NC
  • 08/2016 → 07/2019
    Am Retail Group Inc.
    Brooklyn Park, MN
  • 04/2006 → 12/2017
    Essential Services
    Banner Elk, NC
  • 02/2026 → Present
    Bank Of America, N.A.
    Wilmington, NC
Other Businesses

I*: 3180265Entity Type: For ProfitName: Stafford & Sons LLCInvestment related: NoAddress: Boone, NC 28607Position: Member manager/ownerDate Started: 07/16/2025Hours devoted: 12 hrs annualluHours during securities trading hours: 0Duties: Property management company. Managing 1 short tern rental (Air BNB) and 4 Home owners Associations. The short term rental is not a commercial property. It is the basement of a residential property. The 4 Homeowners associations are condominium associations.I do not actively participate in the business. I have a property manager that handles all aspects of maintenance/client interactions and client communications. I also have a bookkeeper/accountant that handles the taxes and all document related tasks. I just own the residential property. The homeowner associations have been managed by the father of two of my children for over 20 years. He is looking to retire so he is training the boys to take over the business. I started the LLC to facilitate the process of the transition. My only responsibilities are to facilitate the transition to the boys when they are ready to take over after their dad retires.I*3760279Entity Type: Entity For ProfitName of OBA: ALMA Business Group LLCAddress: Belville, North Carolina, 28451Investment Related: NoPosition, Title, Association: General Partner/Managing MemberEmployee Start Date: 09/16/2025Number of Hours: 0, WeeklyNumber of Hours during trading: 0, WeeklyDuties: Holding company for rental unit The entity has been dissolved. I*3760278 Entity Type: Entity For Profit Name of OBA: CJC NC LLC Address: Boone, North Carolina, 28607 Investment Related: No Position, Title, Association: General Partner/Managing Member Employee Start Date: 11/03/2022 Number of Hours: 0, Weekly Number of Hours during trading: 0, Weekly Duties: Real estate holding company I have been removed from this entity and no longer hold a position as a member.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-05-01
  • S66 Uniform Combined State Law Examination
    2026-05-01

View on SEC IAPD

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