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Joseph Goode Vicars

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chapel Hill, NC

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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 2012-10-10
NC RA APPROVED 2011-05-20
  • TX RA
    APPROVED_RES
    Since 2012-10-10
  • NC RA
    APPROVED
    Since 2011-05-20

Branch Locations

1414 Raleigh Rd, Chapel Hill, NC 27517 • 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, Inc. Durhas NC 04/2011 Present
Bank Of America, N.A. Durham NC 05/2011 Present
  • 04/2011 → Present
    Merrill Lynch, Pierce, Fenner & Smith, Inc.
    Durhas, NC
  • 05/2011 → Present
    Bank Of America, N.A.
    Durham, NC
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-06-21
S63 Uniform Securities Agent State Law Examination 1981-07-01
  • S65 Uniform Investment Adviser Law Examination
    1993-06-21
  • S63 Uniform Securities Agent State Law Examination
    1981-07-01

View on SEC IAPD

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