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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 2011-12-15
NC RA APPROVED 2011-06-03
  • TX RA
    APPROVED
    Since 2011-12-15
  • NC RA
    APPROVED
    Since 2011-06-03

Branch Locations

2550 Ravenhill Dr, Fayetteville, NC 28303 • 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 &Amp; Smith, Inc. Fayetteville NC 03/2011 Present
Bank Of America Na Fayetteville NC 06/2011 Present
  • 03/2011 → Present
    Merrill Lynch Pierce, Fenner &Amp; Smith, Inc.
    Fayetteville, NC
  • 06/2011 → Present
    Bank Of America Na
    Fayetteville, NC
Other Businesses

I*1526265Entity Type: Not for Profit Name of outside business organization: Homes Offering Meaningful Education (HOME)Investment related: No Address of business: Purcellville, VA 20134Position, title, association: TeacherStart date of relationship: 10/2023Number of hours devoted: Number of hours devoted during trading hours: Duties: This is a homeschool co-op, where multiple families work together to provide classes for the collective students. I plan to teach a high school finance class. We will cover topics such as budgeting, time value of money, the importance and impact of saving, reading a bank statement, how mortgages work, light economics, and basics of investing. For the investing basics, I would not be offering any advice. Rather, we'd cover what a stock is, what a bond is, and how to understand an investment to make an informed decision. I*1415330, Entity Type: Charitable, Name of OBA: Cape Fear Botanical Garden, Address: Fayetteville, North Carolina, 28301, Investment Related: N, Position, Title, Association: Board Member, Employee Start Date: 08/01/2023, No Hours: 8 Monthly, No Hours during Trading: 4 Monthly, Duties: Helping the board to provide strategic direction and support for the organization .The purpose of the Garden is to create and sustain a national-caliber institution with gardens and programs of exceptional quality, making Cape Fear Botanical Garden the premier destination in the region for connecting with nature and expanding horizons through educational and cultural programs. I*4856272 Entity Type: Governmental Name of OBA: Fayetteville Cumberland Economic Development Board Address: Fayetteville, North Carolina, 28301 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 11/01/2026 Number of Hours: 6, Monthly Number of Hours during trading: 3, Monthly Duties: FCEDC is a 501c6 public-private partnership designed to enhance job growth and prosperity by attracting new industry and expanding existing industry. I would serve as a board member, helping build the economic vision for the community and encouraging business development in Fayetteville.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-06-02
  • S66 Uniform Combined State Law Examination
    2011-06-02
Other Names
  • Steven Smith
  • Steven Haworthfielden Smith
  • Worth Smith

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