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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2004-10-27
TX RA APPROVED_RES 2002-08-28
  • GA RA
    APPROVED
    Since 2004-10-27
  • TX RA
    APPROVED_RES
    Since 2002-08-28

Branch Locations

933 Broad St, Augusta, GA 30901 • 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 Augusta GA 08/2002 Present
Bank Of America, N.A. Augusta GA 07/2011 Present
Other Businesses

I*70514FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: THE FAMILY YMCAINVESTMENT RELATED: NADDRESS OF BUSINESS:AUGUSTA, GEORGIA 30909NATURE OF BUSINESS: CHARITABLE ORGANIZATION,POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 3/25/2014NUMBER OF HOURS DEVOTED: 3 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 2DUTIES: ELECTED TO METRO BOARD OF THE FAMILY Y - I WILL BE ON THE BOARD OF DIRECTORS FOR THIS NON-PROFIT ORGANIZATION. THE Y: "WE'RE HERE FOR YOUTH DEVELOPMENT, HEALTHY LIVING AND SOCIAL RESPONSIBILITY"....I*462718For profit or not for profit: Name of outside business organization: Reid Memorial Presbyterian ChurchInvestment related: NAddress of business: Augusta, GeorgiaNature of business: Position, title, association: , Start date of relationship: Number of hours devoted: hour(s) Number of hours devoted during trading hours: Duties: , Elder on the Session of our Church. Responsible for being a participating member on different committees - Missions Committee, Admin committee.... I*2701261, Entity Type, Name of OBA: MLPF& S CUST FPO K T Y IRA FBO K T Y Address: AugustaGeorgia30909 Investment Related:No Position, Title, Association: Power of AttorneyEmployee Start Date: 08/05/2025No Hours: 2 monthly No Hours during trading: 1 monthly Duties:

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-01-07
S63 Uniform Securities Agent State Law Examination 1994-05-27
  • S65 Uniform Investment Adviser Law Examination
    1999-01-07
  • S63 Uniform Securities Agent State Law Examination
    1994-05-27

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