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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 2025-04-29
NC RA APPROVED 2024-08-05
VA RA APPROVED 2018-08-23
  • TX RA
    APPROVED_RES
    Since 2025-04-29
  • NC RA
    APPROVED
    Since 2024-08-05
  • VA RA
    APPROVED
    Since 2018-08-23

Branch Locations

620 S Tryon St, Charlotte, NC 28255 • United States

650 Peter Jefferson Pkwy, Charlottesville, VA 22911 • 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Suntrust Bank Charlottesville VA 11/2001 11/2016
Suntrust Investment Services,Inc Atlanta GA 08/2010 11/2016
Suntrust Investment Services,Inc Atlanta GA 02/2014 11/2016
Suntrust Bank Charlottesville VA 12/2013 11/2016
Suntrust Advisory Services Atlanta GA 08/2016 11/2016
Merrill Lynch, Pierce, Fenner & Smith Incorporated Charlottesville VA 11/2016 Present
Bank Of America, Na Charlottesville VA 11/2016 Present
  • 11/2001 → 11/2016
    Suntrust Bank
    Charlottesville, VA
  • 08/2010 → 11/2016
    Suntrust Investment Services,Inc
    Atlanta, GA
  • 02/2014 → 11/2016
    Suntrust Investment Services,Inc
    Atlanta, GA
  • 12/2013 → 11/2016
    Suntrust Bank
    Charlottesville, VA
  • 08/2016 → 11/2016
    Suntrust Advisory Services
    Atlanta, GA
  • 11/2016 → Present
    Charlottesville, VA
  • 11/2016 → Present
    Bank Of America, Na
    Charlottesville, VA
Previous Registrations
  • 2014-08-28 → 2016-11-22
    Truist Investment Services, Inc.
    Charlottesville, VA
  • 2016-09-19 → 2016-11-22
    Charlottesville, VA
    Washington, DC
  • 2010-10-18 → 2011-05-17
    Truist Investment Services, Inc.
    Charlottesville, VA
Other Businesses

POSITION: OWNER NATURE: RENTAL PROPERTIES: I OWN A HOUSE WHICH WAS FORMERLY MY PRIMARY RESIDENCE, AND I NOW RENT. CHARLOTTESVILLE, VA 22902: I PAY THE MORTGAGE, COLLECT THE RENT CHECKS, AND CALL MAINTENANCE PROFESSIONALS AS NECESSARY. MY HUSBAND AND I JOINTLY OWN A PROPERTY FROM WHICH HE PRIMARLY OPERATES HIS LAW PRACTICE. WE RENT ONE ROOM/OFFICE THERE TO ANOTHER ATTORNEY. INVESTMENT RELATED: NO. NUMBER OF HOURS: 1 INVESTMENT RELATED HOURS: 0 START DATE: 04/11/2011 ADDRESS: CHARLOTTESVILLE VA DESCRIPTION: I HAVE NO DUTIES/RESPONSIBILITIES. THIS IS THE PROPERTY WHERE MY HUSBAND OPERATES HIS LAW PRACTICE, SO HE PAYS ALL BILLS, INCLUDING THE MORTGAGE AND COLLECTS THE RENT CHECKS FROM THE OTHER ATTORNEY. I*: 2198357 Entity Type: For Profit Name of OBA: Oakerson Acres LLC Address: Charlottesville, VA 22902 Investment Related: No Position, Title, Association: Owner Employee Start Date: 02/20/2025 Number of Hours: 0 Number of Hours during trading: 0 Duties: My husband and I are buying a piece of land for long term investment and plan to hold it in an LLC. It will not be income producing. I*4836282, Entity Type: , Name of OBA: M G, Address: Forest, Virginia, 24551, Investment Related: N, Position, Title, Association: Successor Power of Attorney, Employee Start Date: 07/07/2031, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties: I*4836283, Entity Type: , Name of OBA: S G, Address: Charlottesville, Virginia, 24551, Investment Related: N, Position, Title, Association: Successor Power of Attorney, Employee Start Date: 07/07/2031, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties:

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2014-08-12
S66 Uniform Combined State Law Examination 2010-10-15
  • S63 Uniform Securities Agent State Law Examination
    2014-08-12
  • S66 Uniform Combined State Law Examination
    2010-10-15
Other Names
  • Stephanie Nicole Griffith
  • Stephanie G. Lyman
  • Stephanie Nicole Griffith
  • Stephanie Griffith Lyman
  • Stephanie Lyman

View on SEC IAPD

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