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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 2017-02-22
VA RA APPROVED 2014-04-04
  • TX RA
    APPROVED_RES
    Since 2017-02-22
  • VA RA
    APPROVED
    Since 2014-04-04

Branch Locations

1111 E Main St, Richmond, VA 23219 • 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 Richmond VA 11/2013 Present
Bank Of America, N.A. Richmond VA 07/2014 Present
Other Businesses

I*584352 For profit or not for profit: Name of outside business organization: Chesterfield Little League Investment related: No Address of business: Midlothian, VA Nature of business: Position, title, association: Committee,Board Member,Officer Start date of relationship: 12/01/2023 Number of hours devoted: 0 hrs yearly Number of hours devoted during trading hours: Duties: Recently elected President of Chesterfield Little League and Board Member- Help with the direction of Chesterfield Little League. As President of CLL, I will give guidance to the Board and represent the league at D5 Little League meetings, assist the VP of Baseball and VP of Softball with coaching candidates on Little League requirements and rules supervision. Being President of CLL, I'm assigned to participate on the Finance, Equipment, By-laws, and Buildings & Grounds Committees. Regarding my participation on the Finance Committee, I am one of 6 members on the committee to help review committee budget needs and fiscal responsibility, however I have no check writing authority nor does the organization have an investment account. Check writing authority is handled by the Treasurer and another Board member, as I am not allowed to personally handle any finances due to my role at Merrill Lynch.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-04-01
  • S66 Uniform Combined State Law Examination
    2014-04-01
Other Names
  • Richard Brandon Wade Moore
  • R Brandon Moore
  • Richard Brandon Wade Moore

View on SEC IAPD

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