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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2022-09-29
TX RA APPROVED 2022-09-29
  • NC RA
    APPROVED
    Since 2022-09-29
  • TX RA
    APPROVED
    Since 2022-09-29

Branch Locations

368 George W Liles Pkwy Nw, Concord, NC 28027 • United States

500 W Innes St, Salisbury, NC 28144 • 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
Bank Of America Salisbury NC 03/2006 04/2022
Merrill Lynch, Pierce, Fenner & Smith Inc Charlotte NC 04/2022 Present
Bank Of America, N.A. Charlotte NC 08/2022 Present
  • 03/2006 → 04/2022
    Bank Of America
    Salisbury, NC
  • 04/2022 → Present
    Merrill Lynch, Pierce, Fenner & Smith Inc
    Charlotte, NC
  • 08/2022 → Present
    Bank Of America, N.A.
    Charlotte, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-08-27
  • S66 Uniform Combined State Law Examination
    2022-08-27
Other Names
  • Diana Gonzalez

View on SEC IAPD

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