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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 2021-03-04
FL RA APPROVED 2014-01-27
VA RA APPROVED 2010-02-05
  • TX RA
    APPROVED_RES
    Since 2021-03-04
  • FL RA
    APPROVED
    Since 2014-01-27
  • VA RA
    APPROVED
    Since 2010-02-05

Branch Locations

650 Peter Jefferson Pkwy, Charlottesville, VA 22911 • United States

Wellington, FL • 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 Charlottesville VA 12/2009 Present
Bank Of America, N.A. Charlottesville VA 12/2009 Present
Other Businesses

I*73390For profit or not for profit: For-Profit OrganizationName of outside business organization: Mint Springs Management, LLCInvestment related: YAddress of business:Crozet, Virginia 22932Nature of business: LLC,Position, title, association: Other, Co-ManagerStart date of relationship: 1/1/2014Number of hours devoted: 5 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: This entity is a company that provides all of the health care and property management needs for my special needs brother I*396506For profit or not for profit: Entity CharitableName of outside business organization: Virginia Horse Center FoundationInvestment related: NAddress of business: Lexington, Virginia, 24450Nature of business: ["Charitable Organization"]Position, title, association: ["Board Member"], Start date of relationship: 7/1/2021Number of hours devoted: 5 hour(s) MonthlyNumber of hours devoted during trading hours: 2Duties: , One of six facilities in the US of its kind supporting agriculture and tourism through equine competion at the site. Board Member I*121595For profit or not for profit: For-Profit OrganizationName of outside business organization: Stave Mill Farm LLCInvestment related: NAddress of business:Esmont, Virginia 22937Nature of business: LLC,Position, title, association: Owner, Start date of relationship: 3/1/2019Number of hours devoted: 10 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: I own a farm and have established a business entity through which I will run all farm income from horse boarding or facility rental. I'm the minority owner of the business at 49% and my retired husband is the majority owner. I will assist as neede I*2237291, Entity Type: Entity Charitable, Name of OBA: The Dressage Foundation, Address: Lincoln, Nebraska, 68508, Investment Related: Y, Position, Title, Association: ["Board Member"], Employee State Date: 07/01/2025, No Hours: 25 Yearly, No Hours during Trading: 10 Yearly, Duties: Providing funding through grantmaking to all players in the dressage industry: Pros, Amateurs, Youth and Judges

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-02-04
  • S66 Uniform Combined State Law Examination
    2010-02-04

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