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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 2007-05-18
GA RA APPROVED 2005-12-14
  • TX RA
    APPROVED
    Since 2007-05-18
  • GA RA
    APPROVED
    Since 2005-12-14

Branch Locations

3455 Peachtree Rd Ne Pbig - Atlanta Pw, Atlanta, GA 30326 • 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 Atlanta GA 08/2005 Present
Bank Of America, N.A. Atlanta GA 06/2011 Present
Other Businesses

I* 440697 For profit or not for profit: Entity Charitable Name of outside business organization: The Joy House Investment related: no Address of business: Jasper, GA, 30143 Nature of business: Charitable Organization Position, title, association: Treasurer,Board Member Start date of relationship: 02/06/2020 Number of hours devoted: 3 monthly Number of hours devoted during trading hours: 0 Duties: The Joy House has a faith based community counseling center as well as a youth residential program whose focus is restoring family relationships and counseling individuals who are struggling with difficult life issues.My initial responsibilities are as a Board Member, representing the families of those children who have been a part of their residential program. Secondarily, I have been asked to be the Treasurer of the Board. Responsibilities in this role include reviewing (but not producing) the monthly and quarterly financial statements, including the reconciliation of deposits and outgoing checks. I will not have direct access to bank accounts (virtually or in person) nor will I be an authorized signature for checks. I also am not providing investment advice in any form, and the organization does not have a Finance Committee.

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

View on SEC IAPD

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