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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 2023-03-14
NC RA APPROVED 2023-01-20
  • TX RA
    APPROVED
    Since 2023-03-14
  • NC RA
    APPROVED
    Since 2023-01-20

Branch Locations

751 Providence Rd, Charlotte, NC 28207 • 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 Charlotte NC 08/2022 Present
Publix Charlotte NC 04/2017 07/2022
Walgreens Charlotte NC 10/2005 02/2017
Carolina's Healthcare Specialty Pharmacy Charlotte NC 10/2016 02/2017
National Disaster Medical System Winston-Salem NC 03/2004 Present
Premise Health Charlotte NC 01/2021 Present
Bank Of America, N.A. Charlotte NC 11/2022 Present
  • 08/2022 → Present
    Charlotte, NC
  • 04/2017 → 07/2022
    Publix
    Charlotte, NC
  • 10/2005 → 02/2017
    Walgreens
    Charlotte, NC
  • 10/2016 → 02/2017
    Carolina's Healthcare Specialty Pharmacy
    Charlotte, NC
  • 03/2004 → Present
    National Disaster Medical System
    Winston-Salem, NC
  • 01/2021 → Present
    Premise Health
    Charlotte, NC
  • 11/2022 → Present
    Bank Of America, N.A.
    Charlotte, NC
Other Businesses

Rental Property/OWNER, Charlotte NC 28203, under 5 hours per month. not during trading hours. I*976272, Entity Type: Entity Governmental, Name of OBA: Defense Commissary Agency, Address: Fort Lee, Virginia 23801, Investment Related: N, Position, Title, Association: Other, Employee Start Date: 08/30/2000, No Hours: 2, No Hours during trading: 0, Duties: Disaster Medical Relief for Federal Government

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-01-09
  • S66 Uniform Combined State Law Examination
    2023-01-09

View on SEC IAPD

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