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Benjamin Powell

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Greensboro, 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
SC RA APPROVED 2024-05-15
NC RA APPROVED 2003-07-09
  • SC RA
    APPROVED
    Since 2024-05-15
  • NC RA
    APPROVED
    Since 2003-07-09

Branch Locations

800 Green Valley Rd, Greensboro, NC 27408 • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch Pierce Fenner & Smith, Inc. Burlington NC 06/2003 Present
Bank Of America, Na Greensboro NC 12/2009 Present
  • 06/2003 → Present
    Merrill Lynch Pierce Fenner & Smith, Inc.
    Burlington, NC
  • 12/2009 → Present
    Bank Of America, Na
    Greensboro, NC
Previous Registrations
  • 1992-11-05 → 2003-06-09
    Morgan Stanley Dw Inc.
    Greensboro, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-10-21
S63 Uniform Securities Agent State Law Examination 1992-06-11
  • S65 Uniform Investment Adviser Law Examination
    1992-10-21
  • S63 Uniform Securities Agent State Law Examination
    1992-06-11
Other Names
  • Benjamin Thomas Powell

View on SEC IAPD

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