Best Investors Account Sign in
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 1983-09-20
FL RA APPROVED 1983-05-09
  • TX RA
    APPROVED_RES
    Since 1983-09-20
  • FL RA
    APPROVED
    Since 1983-05-09

Branch Locations

1276 Metropolitan Blvd, Tallahassee, FL 32312 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Tallahassee FL 08/1980 Present
Bank Of America, Na Tallahassee FL 12/2009 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-07-25
S63 Uniform Securities Agent State Law Examination 1981-10-23
  • S65 Uniform Investment Adviser Law Examination
    1997-07-25
  • S63 Uniform Securities Agent State Law Examination
    1981-10-23

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Tallahassee, FL

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor