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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 2024-08-30
NC RA APPROVED 2024-08-26
  • TX RA
    APPROVED
    Since 2024-08-30
  • NC RA
    APPROVED
    Since 2024-08-26

Branch Locations

620 S Tryon St, Charlotte, NC 28255 • 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
The Vanguard Group, Inc. Charlotte NC 09/2022 07/2024
Volunteers In Medicine Wilkes-Barre PA 01/2022 08/2022
Target Wilkes-Barre PA 07/2020 01/2022
Pennsylvania State University State College PA 08/2018 05/2020
Pennsylvania State University Hazleton PA 08/2016 08/2018
Best Buy Wilkes-Barre PA 10/2015 10/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Charlotte NC 07/2024 Present
Penn State State College PA 09/2018 05/2020
Weiss Market Mountain Top PA 08/2017 11/2017
Bank Of America, N.A. Charlotte NC 08/2024 Present
  • 09/2022 → 07/2024
    The Vanguard Group, Inc.
    Charlotte, NC
  • 01/2022 → 08/2022
    Volunteers In Medicine
    Wilkes-Barre, PA
  • 07/2020 → 01/2022
    Target
    Wilkes-Barre, PA
  • 08/2018 → 05/2020
    Pennsylvania State University
    State College, PA
  • 08/2016 → 08/2018
    Pennsylvania State University
    Hazleton, PA
  • 10/2015 → 10/2017
    Best Buy
    Wilkes-Barre, PA
  • 07/2024 → Present
    Charlotte, NC
  • 09/2018 → 05/2020
    Penn State
    State College, PA
  • 08/2017 → 11/2017
    Weiss Market
    Mountain Top, PA
  • 08/2024 → Present
    Bank Of America, N.A.
    Charlotte, NC
Other Businesses

I*2259264, Entity Type: Entity For Profit, Name of OBA: Be Do Have Clothing, Address: Charlotte, North Carolina, 28217, Investment Related: N, Position, Title, Association: Owner, Employee State Date: 03/26/2025, No Hours: 1 Weekly, No Hours during Trading: 0 Weekly, Duties: Help design clothes

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-04-06
S63 Uniform Securities Agent State Law Examination 2022-11-07
  • S66 Uniform Combined State Law Examination
    2024-04-06
  • S63 Uniform Securities Agent State Law Examination
    2022-11-07
Other Names
  • Austin Wood
  • Austin Jay Francis Wood
  • Austin J Wood

View on SEC IAPD

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