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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 2020-11-30 |
| TX | RA | APPROVED_RES | 2020-11-30 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wachovia Bank, N.A. | Ozark | AL | 06/2011 | 11/2016 |
| Wells Fargo Advisors Llc | Ozark | AL | 06/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Ozark | AL | 11/2016 | 12/2020 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Dothan | AL | 11/2020 | Present |
I*10356 For profit or not for profit: Name of outside business organization: Rental Investment related: Address of business: Dothan, Alabama 36305 Nature of business: , Position, title, association: , Start date of relationship: 10/1/2013 Number of hours devoted: 0 hour(s) Number of hours devoted during trading hours: 0 WIREGRASS SOCCER OFFICIALS ASSOCIATION; NOT INVESTMENT RELATED; ENTERPRISE,AL; SOCCER REFEREE; START DATE 02/03/2020; NUMBER OF HOURS PER MONTH 15; NUMBER OF HOURS DURING TRADING 0; REFEREE FOR HIGH SCHOOL SOCCER GAMES.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-03-27 |
| S63 | Uniform Securities Agent State Law Examination | 2009-09-10 |
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