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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 2025-11-04
NC RA APPROVED 2019-09-05
  • TX RA
    APPROVED_RES
    Since 2025-11-04
  • NC RA
    APPROVED
    Since 2019-09-05

Branch Locations

800 Green Valley Rd, Greensboro, NC 27408 • 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
Northwestern Mutual Life Insurance Company Milwaukee WI 10/2010 12/2017
Northwestern Mutual Investment Services, Llc Greensboro NC 11/2010 12/2017
Northwestern Mutual Wealth Management Company Milwaukee WI 05/2016 12/2017
Wells Fargo Clearing Services, Llc. Greensboro NC 01/2018 06/2019
Wells Fargo Bank Na Greensboro NC 01/2018 06/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated Greensboro NC 06/2019 Present
Gp Agency (Gene Pleasant Agency) Raleigh NC 07/2011 10/2017
Bank Of America, N.A. Greensboro NC 08/2019 Present
  • 10/2010 → 12/2017
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 11/2010 → 12/2017
    Northwestern Mutual Investment Services, Llc
    Greensboro, NC
  • 05/2016 → 12/2017
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 01/2018 → 06/2019
    Wells Fargo Clearing Services, Llc.
    Greensboro, NC
  • 01/2018 → 06/2019
    Wells Fargo Bank Na
    Greensboro, NC
  • 06/2019 → Present
    Greensboro, NC
  • 07/2011 → 10/2017
    Gp Agency (Gene Pleasant Agency)
    Raleigh, NC
  • 08/2019 → Present
    Bank Of America, N.A.
    Greensboro, NC
Other Businesses

I*125089 For profit or not for profit: For-Profit Organization Name of outside business organization: Northwestern Mutual Investment related: Y Address of business: Milwaukee, Wisconsin 53202 Nature of business: Corporation Position, title, association: Other, No Position held Start date of relationship: 1/1/2018 Number of hours devoted: 0 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Trailing Insurance Commissions I*131598 For profit or not for profit: Non-Profit Organization Name of outside business organization: Goodwill Industries of Central North Carolina, Inc Investment related: Address of business: Greensboro, North Carolina 27406 Nature of business: Corporation, Compensation for Activity: Position, title, association: , Start date of relationship: 6/4/2020 Number of hours devoted: 4 hour(s) Quarterly Number of hours devoted during trading hours: 0 Duties: Board Advisor to assist Executive Board of Directors and participate on financial committee as a member.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-09-03
S63 Uniform Securities Agent State Law Examination 2011-04-04
  • S66 Uniform Combined State Law Examination
    2019-09-03
  • S63 Uniform Securities Agent State Law Examination
    2011-04-04

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