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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 2004-10-04
FL RA APPROVED 2004-09-20
  • TX RA
    APPROVED_RES
    Since 2004-10-04
  • FL RA
    APPROVED
    Since 2004-09-20

Branch Locations

9000 Southside Blvd Ci Relationship Management, Jacksonville, FL 32256 • 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 Jacksonville FL 08/2004 Present
Bank Of America, N.A. Jacksonville FL 08/2015 Present
Other Businesses

I*: 2168271 Entity Type: For Profit Name of OBA: Treadway Rental Properties, LLC Address: St Augustine, FL 32084 Investment Related: No Position, Title, Association: Officer Employee Start Date: 2/1/2025 Number of Hours: 1 hr mthly Number of Hours during trading: 1 hr mthly Duties: I will be monitoring the income from the rentals

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-09-16
S63 Uniform Securities Agent State Law Examination 1993-04-07
  • S66 Uniform Combined State Law Examination
    2004-09-16
  • S63 Uniform Securities Agent State Law Examination
    1993-04-07

View on SEC IAPD

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