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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 2007-05-04
TN RA APPROVED 2004-04-14
  • TX RA
    APPROVED
    Since 2007-05-04
  • TN RA
    APPROVED
    Since 2004-04-14

Branch Locations

Chattanooga, TN • United States

2 Union Sq, Chattanooga, TN 37402 • 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 Chattanooga TN 03/1993 Present
Bank Of America, N.A. Chattanooga TN 09/2009 Present
Other Businesses

1)FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: WOODLAND PARK BAPTIST CHRUCH-FINANCE COMMITTEE INVESTMENT RELATED: N ADDRESS OF BUSINESS: CHATTANOOGA, TENNESSEE 37421 POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 1/1/2012 NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: A MEMBER OF 8 PERSON COMMITTEE TO ASIST ADMINISTRATIVE PASTOR AND DIRECTOR OF FINANCE ON CHURCH FINANCIAL MATTERS. WE HAVE NO DECISION MAKING AUTHORITY. THE COMMITTE MAKES RECOMMENDATIONS ONLY TO CHURCH LEADERSHIP. 2)I*68466 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: HAROLD & BETTY FAMILY PARTNERSHIP INVESTMENT RELATED: N ADDRESS OF BUSINESS: CHATTANOOGA TN 37421 NATURE OF BUSINESS: PARTNERSHIP POSITION, TITLE, ASSOCIATION: START DATE OF RELATIONSHIP: 12/5/2013 NUMBER OF HOURS DEVOTED: 1 MONTHLY HOUR(S) NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: WE ARE LEASING OUR FAMILY FARM TO SOMEONE TO GROW PEPPERS I*135825 For profit or not for profit: Non-Profit Organization Name of outside business organization: woodland park baptist church Investment related: N Address of business: chattanooga, Tennessee 37421 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 1/27/2021 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Church. I have been asked to become a trustee. The one function will be to sign off on a land sale of property owned by the church with the proceeds being paid to the church.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-04-07
S63 Uniform Securities Agent State Law Examination 1994-03-24
  • S65 Uniform Investment Adviser Law Examination
    1994-04-07
  • S63 Uniform Securities Agent State Law Examination
    1994-03-24
Other Names
  • Thomas G Hammel

View on SEC IAPD

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