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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2014-02-18
TX RA APPROVED_RES 2008-11-14
  • NC RA
    APPROVED
    Since 2014-02-18
  • TX RA
    APPROVED_RES
    Since 2008-11-14

Branch Locations

8015 W Kenton Cir, Huntersville, NC 28078 • 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 Huntersville NC 11/2008 Present
Other Businesses

I*63916For profit or not for profit: For-Profit OrganizationName of outside business organization: Kansas Properties, LLCInvestment related: YAddress of business:China Grove, North Carolina 28023Nature of business: LLC,Position, title, association: Other, LLC memberStart date of relationship: 4/18/2003Number of hours devoted: 6 hour(s) AnnuallyNumber of hours devoted during trading hours: 0Duties: Personal LLC - residential rental property; my husband is a real estate broker and this is part of his business. I am listed as a member in case he is out of town and I need to transact business for the LLC. Reviewed with A R I*2062269, Entity Type Fiduciary, Name of OBA: J B. H Address: Cleveland, North Carolina, 27013 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 24-Oct-2024 No Hours: 1 yearly No Hours during trading: 0 Duties: I*2705282, Entity Type, Name of OBA: D H - Notary Address: China GroveNorth Carolina28023 Investment Related: No Position, Title, Association: Notary Employee Start Date: 08/07/2025 No Hours: 1 monthly No Hours during trading: 1 monthly Duties: Notarize documents and keep the notary log. Notarize documents at no charge as needed.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-06-15
S63 Uniform Securities Agent State Law Examination 1993-07-01
  • S65 Uniform Investment Adviser Law Examination
    2000-06-15
  • S63 Uniform Securities Agent State Law Examination
    1993-07-01
Other Names
  • Dana Marie Horton
  • Dana Horton
  • Dana Landreth
  • Dana Marie Landreth

View on SEC IAPD

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