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
ID RA APPROVED 2025-08-29
TN RA APPROVED 2004-04-15
TX RA APPROVED_RES 1984-03-19
  • ID RA
    APPROVED
    Since 2025-08-29
  • TN RA
    APPROVED
    Since 2004-04-15
  • TX RA
    APPROVED_RES
    Since 1984-03-19

Branch Locations

6060 Poplar Ave, Memphis, TN 38119 • 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 Memphis TN 04/1983 Present
Bank Of America, N.A. Germantown TN 12/2009 Present
Other Businesses

I*71945 ENTITY TYPE: NON-PROFIT ORGANIZATION NAME: HATCHIE COON HUNTING CLUB INVESTMENT RELATED: NO ADDRESS: TULOT, ARKANSAS 72472 POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 5/7/2014NUMBER OF HOURS DEVOTED: 1 HOUR MTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: SERVE AS PRESIDENT FOR HUNTING AND FISHING CLUB I*1837286, Entity Type, For Profit, Name of OBA: Triple D Dynasty LLC Address: Hot Springs Village,Arkansas,71909 Investment Related: No, Title, Association: Other, Employee Start Date:06/26/2024, No Hours::5 yearly No Hours during trading:0 Duties:150 acres of AR real estate for duck hunting. I will have approx. 28% interest. I*: 2799280 Entity Type: Charitable Name of OBA: Christian Brothers High School Address: Memphis, TN 38120 Investment Related: No Position, Title, Association: Committee member Employee Start Date: 09/01/2025 Number of Hours: 6 hrs annually Number of Hours during trading: 0 Duties: Serve on an advisory committee to the formal Finance Committee of Board of Trustees I*2944283, Entity Type: , Name of OBA: Estate of D C, Address: Hot Springs Village, Arkansas, 71909, Investment Related: N, Position, Title, Association: Executor, Employee State Date: 01/01/2026, No Hours: 3 Monthly, No Hours during Trading: 1 Monthly, Duties:

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-03-08
S63 Uniform Securities Agent State Law Examination 1983-06-23
  • S65 Uniform Investment Adviser Law Examination
    1994-03-08
  • S63 Uniform Securities Agent State Law Examination
    1983-06-23

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Memphis, TN

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor