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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 2013-02-08
SC RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2013-02-08
  • SC RA
    APPROVED
    Since 2009-10-23

Branch Locations

1604 E Main St, Spartanburg, SC 29307 • United States

Taylors, SC • 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 Greenville SC 10/2009 Present
Previous Registrations
  • 2008-07-17 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Greenville, SC
    Greenville, SC
Other Businesses

I*10977 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: WINDY SHORES II MULTIPLE OWNERS ASSOCIATION INVESTMENT RELATED: NO ADDRESS OF BUSINESS: NORTH MYRTLE BEACH, SC 29582 NATURE OF BUSINESS: CORPORATION POSITION, TITLE, ASSOCIATION: OFFICER, START DATE OF RELATIONSHIP: 11/6/2001 NUMBER OF HOURS DEVOTED: 3 HOURS QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: TIMESHARE MULTIPLE OWNER ASSOCIATION FOR WINDY SHORES II PROPERTY; MY POSITION IS VICE PRESIDENT; HOWEVER, ALL FINANCIAL TRANSACTIONS ARE HANDLED BY DEFENDER MGMT CO AND AUDITIED BY AN OUTSIDE AUDITING FIRM; I DO NOT PERFORM ANY ACTUAL TRANSACTIONS. I*10978 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: WINDY SHORES II WHOLE OWNERS ASSOCIATION INVESTMENT RELATED: NO ADDRESS OF BUSINESS: NORTH MYRTLE BEACH, SC 29582 NATURE OF BUSINESS: CORPORATION POSITION, TITLE, ASSOCIATION: OFFICER START DATE OF RELATIONSHIP: 2/16/2008 NUMBER OF HOURS DEVOTED: 3 HOURS QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: WHOLE OWNERS ASSOCIATION FOR WINDY SHORES II; MY DUTIES ARE AS A GENERAL OFFICER OF THE BOARD AND NO SPECIFIC DUTIES

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-06-30
S63 Uniform Securities Agent State Law Examination 1993-11-03
  • S66 Uniform Combined State Law Examination
    2008-06-30
  • S63 Uniform Securities Agent State Law Examination
    1993-11-03
Other Names
  • Deborah Gene Barker

View on SEC IAPD

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