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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 2016-05-03
SC RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2016-05-03
  • SC RA
    APPROVED
    Since 2009-10-23

Branch Locations

1604 E Main St, Spartanburg, SC 29307 • 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 Spartanburg SC 10/2009 Present
Bank Of America, N.A. Spartanburg SC 05/2011 Present
Previous Registrations
  • 1998-01-01 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Spartanburg, SC
    Spartanburg, SC
Other Businesses

I*424483, Entity Type: Entity Charitable, Name of OBA: Mobile Meals of Spartanburg, Address: Spartanburg, South Carolina, 29302, Investment Related: N, Position, Title, Association: Committee,Board Member, Employee State Date: 08/26/2025, No Hours: 5 Monthly, No Hours during Trading: 5 Monthly, Duties: Incoming Board Chair. Also serve on Executive Committee, Finance Committee and Long Range Planning Committee. As far as participation on the Investment and Finance Committee, we have no authority to make decisions for the organization. Our responsibility is to report on the current status of the budget, investments and capital expenditures. We have spending policies that we make sure are being maintained, as well as budget planning for fund raising events. No action can be taken by a committee. The Committee can make recommendations, but it requires a full board vote for action. Meal Delivery for homebound/shut in population in Spartanburg County

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-10-02
S63 Uniform Securities Agent State Law Examination 1994-02-22
  • S65 Uniform Investment Adviser Law Examination
    1995-10-02
  • S63 Uniform Securities Agent State Law Examination
    1994-02-22

View on SEC IAPD

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