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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-10-30 |
| SC | RA | APPROVED | 2023-10-04 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bb&T Securities | Wilmington | NC | 06/2015 | 11/2018 |
| Wells Fargo Clearing Services, Llc. | Easley | SC | 01/2019 | 08/2023 |
| Wells Fargo Bank Na | Easley | SC | 11/2018 | 01/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Greenville | SC | 09/2023 | Present |
| Bank Of America, N.A. | Greenville | SC | 10/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-10-17 |
| S65 | Uniform Investment Adviser Law Examination | 1994-09-06 |
| S63 | Uniform Securities Agent State Law Examination | 1992-11-19 |
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