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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 2011-11-02
SC RA APPROVED 1994-01-09
  • TX RA
    APPROVED_RES
    Since 2011-11-02
  • SC RA
    APPROVED
    Since 1994-01-09

Branch Locations

1301 Gervais St, Columbia, SC 29201 • 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 Columbia SC 05/1994 Present
Bank Of America,Na Columbia SC 12/2009 Present
Other Businesses

I*82018 FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: COLUMBIA CAPITAL IX LLCINVESTMENT RELATED: YADDRESS OF BUSINESS:COLUMBIA, SOUTH CAROLINA 29206,POSITION: LIMITED PARTNER, START DATE OF RELATIONSHIP: 11/14/2014NUMBER OF HOURS DEVOTED: 0 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: THIS IS AN ORGANIZED LLC FOR THE PURPOSE OF INVESTING IN TIGER GLOBAL INVESTMENT PARTNERS IX. I HAVE NO RESPONSIBILITES EXCEPT TO FUND THE ACCOUNT WHEN A CAPITAL CALL IS DUE.I*88301FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: COLUMBIA CAPITAL X LLCINVESTMENT RELATED: YADDRESS OF BUSINESS:COLUMBIA, SOUTH CAROLINA 29206NATURE OF BUSINESS: LLC,POSITION, TITLE, ASSOCIATION: GENERAL PARTNER, START DATE OF RELATIONSHIP: 11/12/2015NUMBER OF HOURS DEVOTED: 1 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 1DUTIES: LLC SETUP TO HOUSE INVESTMENT TIGER GLOBAL PIP X LLC WITH PARTNERS I*52207FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: COLUMBIA CAPITAL VII LLCINVESTMENT RELATED: YADDRESS OF BUSINESS:COLUMBIA, SOUTH CAROLINA 29206NATURE OF BUSINESS: LLC,POSITION, TITLE, ASSOCIATION: LIMITED PARTNER, START DATE OF RELATIONSHIP: 2/27/2012NUMBER OF HOURS DEVOTED: 0 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: LLC ESTABLISHED FOR INVESTMENTS WITH PARTNERS Hagood Ellison and John McCardellI*116676For profit or not for profit: For-Profit OrganizationName of outside business organization: MMM Capital Partners LLCAddress of business:Charlotte, North Carolina 28205Nature of business: LLC,Position, title, association: Limited Partner, Start date of relationship: 8/15/2018Number of hours devoted: 1 hour(s) AnnuallyNumber of hours devoted during trading hours: 0Duties: LLC formed for a limited partnership investmentI*119262For profit or not for profit: For-Profit OrganizationName of outside business organization: Columbia Capital VIII LLCInvestment related: YAddress of business: Columbia, South Carolina 29206Nature of business: LLC,Position, title, association: Fiduciary, Start date of relationship: 4/1/2014Number of hours devoted: 0 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: LLC established for investments with partners Hagood Ellison, John McCardell and Gordon WhittakerI*129201 For-Profit OrganizationName of outside business organization: Columbia Capital XII LLCInvestment related: YAddress of business:Charlotte, North Carolina 28207Position, title, association: Limited Partner, Start date of relationship: 1/13/2020Number of hours devoted: 1 hour(s) AnnuallyNumber of hours devoted during trading hours: 0Duties: investing in Tiger Global PIP XIII*1138261 Entity For ProfitName of outside business organization: Columbia Capital XVI LLCInvestment related: NAddress of business: Columbia, South Carolina, 29206Nature of business: ["Limited Liability Company"]Position, title, association: ["Other"], Start date of relationship: 2/1/2023Number of hours devoted: 0 hour(s) YearlyNumber of hours devoted during trading hours: 0Duties: Investor in the LLC, Investment into Tiger PIP 16 and I am a Limited Partner in the LLC"I ""973311"",Name of OBA: Columbia Capital XV,Address: Charlotte, North Carolina,Investment Related: Y,Position, Title: ["General Partner/Managing Member"],Employee Start Date: 10/5/2021,No Hours: 1, Yearly,No Hours during trading: 0,Duties: This will be a company to invest Tiger XV private equity fund I*4105268, Entity For Profit, Name: Columbia Capital XVII LLC, Address: Columbia, South Carolina, 29206, Investment Related: N, Position: Other, Employee Start Date: 02/26/2026, No Hours: 0 Yearly, No Hours during Trading: 0 Yearly, Duties: Limited partner, This is an LLC to invest in the underlying VC firm Tiger Global XVII, which we have done in the past as well. Nothing else will go into this and it is just a pass through entity.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1994-09-02
S65 Uniform Investment Adviser Law Examination 1994-09-02
  • S63 Uniform Securities Agent State Law Examination
    1994-09-02
  • S65 Uniform Investment Adviser Law Examination
    1994-09-02
Other Names
  • Richard T Migliore

View on SEC IAPD

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