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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 2016-08-29
NC RA APPROVED 2016-08-17
  • TX RA
    APPROVED
    Since 2016-08-29
  • NC RA
    APPROVED
    Since 2016-08-17

Branch Locations

8015 W Kenton Cir, Huntersville, NC 28078 • 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 Huntersville NC 06/2016 Present
Bank Of America, N.A. Huntersville NC 10/2016 Present
Previous Registrations
Other Businesses

I*122999 For profit or not for profit: For-Profit Organization Name of outside business organization: Flight Radar Investment related: N Address of business: charlotte, North Carolina 28269 Nature of business: Sole Proprietorship, Position, title, association: Owner, Start date of relationship: 6/1/2019 Number of hours devoted: 10 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: This is an android app I would like to purchase similar to my previous approved app called app locker. This app tracks and displays commercial and publicly available flight information for plane enthusiasts. It earns revenue through advertising. I*1023328 For profit or not for profit: Entity For Profit Name of outside business organization: Uber Technologies, Inc. Investment related: N Address of business: San Francisco, California, 94103 Nature of business: ["Corporation"] Position, title, association: ["Consultant/Independent Contractor"], Start date of relationship: 10/17/2022 Number of hours devoted: 10 hour(s) Weekly Number of hours devoted during trading hours: 0 Duties: , rideshare driving

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-05-04
S63 Uniform Securities Agent State Law Examination 2014-01-06
  • S66 Uniform Combined State Law Examination
    2015-05-04
  • S63 Uniform Securities Agent State Law Examination
    2014-01-06
Other Names
  • Ron Trotman

View on SEC IAPD

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