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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 2020-12-16
KY RA APPROVED 2020-12-10
  • TX RA
    APPROVED_RES
    Since 2020-12-16
  • KY RA
    APPROVED
    Since 2020-12-10

Branch Locations

101 Bullitt Ln, Louisville, KY 40222 • 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
Pnc Investments Louisville KY 11/2009 12/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated Louisville KY 12/2020 Present
Bank Of America, N.A. Louisville KY 01/2021 Present
Previous Registrations
  • 2009-11-13 → 2020-12-17
    Louisville, KY
    Louisville, KY
    Louisville, KY
    Louisville, KY
  • 2006-09-19 → 2009-11-13
    Natcity Investments, Inc.
    Louisville, KY
    Indianapolis, IN
    Louisville, KY
  • 2001-06-26 → 2003-06-02
    Prudential Equity Group, Llc
    Indianapolis, IN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-02-22
S63 Uniform Securities Agent State Law Examination 1993-12-29
  • S65 Uniform Investment Adviser Law Examination
    1999-02-22
  • S63 Uniform Securities Agent State Law Examination
    1993-12-29
Other Names
  • David D Very

View on SEC IAPD

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