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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2004-05-26
TX RA APPROVED_RES 1997-01-07
  • TN RA
    APPROVED
    Since 2004-05-26
  • TX RA
    APPROVED_RES
    Since 1997-01-07

Branch Locations

222 2Nd Ave S, Nashville, TN 37201 • United States

Nashville, TN • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Nashville TN 05/1994 Present
Bank Of America, N.A. Nashville TN 12/2009 Present
Other Businesses

I*504972 For profit or not for profit: Name of outside business organization: Rental Investment related: N Address of business: Nashville, Tennessee, 37212 Nature of business: Position, title, association: Sole owner, Start date of relationship: 11/1/2021 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , I*23883 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: TRIDENT INVESTMENT PARTNERS LLC INVESTMENT RELATED: N ADDRESS OF BUSINESS: NASHVILLE, TENNESSEE 37215 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: START DATE OF RELATIONSHIP: 01/01/0001 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: 1/3 PARTNER PARTICIPATE IN TRANSACTIONS DECISIONS I*51574 For profit or not for profit: For-Profit Organization Name of outside business organization: Phyl's Phyne Phamily Pharm Investment related: Y Address of business: Knoxville, Tennessee 37934 Nature of business: LLC, Position, title, association: Limited Partner, Start date of relationship: 2/27/2012 Number of hours devoted: 0 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: This is a family farm inherited from my deceased grandfather. I have no tasks I*92293 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL PROPERTY INVESTMENT RELATED: Y ADDRESS OF BUSINESS: NASHVILLE, TENNESSEE 37216 NATURE OF BUSINESS: OTHER, HOLDING IN INDIVIDUAL NAME POSITION, TITLE, ASSOCIATION: PARTICIPANT, START DATE OF RELATIONSHIP: 3/24/2016 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: I HAVE NO RESPONSIBILITY OTHER THAN TO OWN THE PROPERTY I*92616 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: 1026 E. TRINITY LANE INVESTMENT RELATED: Y ADDRESS OF BUSINESS: NASHVILLE, TENNESSEE 37218 NATURE OF BUSINESS: OTHER,I WOULD BE INVESTING PERSONALLY POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 4/20/2016 NUMBER OF HOURS DEVOTED: 0 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THE PURPOSE IS TO INVESTMENT IN ADDITIONAL REAL ESTATE IN THE NASHVILLE MARKET "I ""997286"", Name of OBA: Rental Property 1, Address: Nashville, Tennessee, Investment Related: N, Position, Title: Sole owner Employee Start Date: 10/6/2022, No Hours: 0, Yearly, No Hours during trading: 0, Duties: N/A

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-09-14
S63 Uniform Securities Agent State Law Examination 1994-08-26
  • S65 Uniform Investment Adviser Law Examination
    1994-09-14
  • S63 Uniform Securities Agent State Law Examination
    1994-08-26
Other Names
  • Eric T Klindt

View on SEC IAPD

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