Best Investors Account Sign in
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-07-02
WA RA APPROVED 2017-09-15
  • TX RA
    APPROVED_RES
    Since 2018-07-02
  • WA RA
    APPROVED
    Since 2017-09-15

Branch Locations

401 Union St, Seattle, WA 98101 • United States

Seattle , WA • United States

14636 N Scottsdale Rd, Scottsdale, AZ 85254 • 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 Seattle WA 06/2017 Present
Becky Gray Creating Lifestyles Kirkland WA 12/2015 05/2017
Bank Of America, N.A. Seattle WA 11/2017 Present
Other Businesses

I*136658 For profit or not for profit: For-Profit Organization Name of outside business organization: ARBONNE Investment related: N Address of business: Renton, Washington 98057 Nature of business: Other,MLM Position, title, association: Consultant, Start date of relationship: 3/9/2021 Number of hours devoted: 10 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: I have restarted to order health & wellness products at wholesale. I can get paid for this as an independent consultant.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-09-11
S63 Uniform Securities Agent State Law Examination 2015-04-21
  • S66 Uniform Combined State Law Examination
    2017-09-11
  • S63 Uniform Securities Agent State Law Examination
    2015-04-21
Other Names
  • Carole Lynne Lockhart
  • Carol Lynne Lockhart
  • Carol Lockhart

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Seattle, WA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor