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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 1985-05-24
FL RA APPROVED 1983-07-21
  • TX RA
    APPROVED_RES
    Since 1985-05-24
  • FL RA
    APPROVED
    Since 1983-07-21

Branch Locations

45 Eglin Pkwy Ne, Fort Walton Beach, FL 32548 • 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 Fort Walton Beach FL 10/1981 Present
Bank Of America, N.A. Fort Walton Beach FL 07/2011 Present
Other Businesses

I*2352261, Entity Type: , Name of OBA: ESTATE OF C A M, Address: FT WALTON BEACH, Florida, 32549, Investment Related: N, Position, Title, Association: Executor, Employee State Date: 11-Apr-2025, No Hours: 2 Weekly, No Hours during Trading: 0 Weekly, Duties:I*2690264, Entity Type: , Name of OBA: MLPF& S CUST FPO E A M IRA FBO E A M, Address: FT WALTON BEACH, Florida, 32548, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 04-Aug-2025, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties: I*2971283 Entity Type: Entity Charitable Name of OBA: EMERALD COAST COMMUNITY WELLNESS FOUNDATION Address: Florida, 32541 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 02/15/2013 Number of Hours: 5, Monthly Number of Hours during trading: 1, Monthly Duties: COMMUNITY WELLNESS. PROVIDE FUNDS VIA GRANTS TO SUPPORT COMMUNITY HEALTH. BOARD MEMBER (SAME AS CURRENT) ATTEND BOARD MEETINGS, SET POLICY, GRANT PRESENTATIONS, RECRUIT NEW BOARD MEMBERS, ETC

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-11-24
S63 Uniform Securities Agent State Law Examination 1983-08-17
  • S65 Uniform Investment Adviser Law Examination
    1995-11-24
  • S63 Uniform Securities Agent State Law Examination
    1983-08-17

View on SEC IAPD

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