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Joel Robert Burns

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Charlotte, 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 2021-09-06
NC RA APPROVED 2009-10-23
SC RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2021-09-06
  • NC RA
    APPROVED
    Since 2009-10-23
  • SC RA
    APPROVED
    Since 2009-10-23

Branch Locations

13510 Ballantyne Corporate Pl, Charlotte, NC 28277 • United States

Disclosures

3 disclosure categories 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 Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Charlotte NC 10/2009 Present
Bank Of America, N.A. Charlotte NC 06/2010 Present
Previous Registrations
  • 2004-09-17 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Charlotte, NC
    Fort Mill, SC
  • 2004-05-04 → 2004-10-07
    J.J.B. Hilliard, W.L. Lyons, Llc
    Charlotte, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-11-08
S65 Uniform Investment Adviser Law Examination 2001-05-07
S63 Uniform Securities Agent State Law Examination 1993-01-11
  • S66 Uniform Combined State Law Examination
    2006-11-08
  • S65 Uniform Investment Adviser Law Examination
    2001-05-07
  • S63 Uniform Securities Agent State Law Examination
    1993-01-11

View on SEC IAPD

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