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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 2005-02-16
TN RA APPROVED 2004-04-15
  • TX RA
    APPROVED_RES
    Since 2005-02-16
  • TN RA
    APPROVED
    Since 2004-04-15

Branch Locations

6060 Poplar Ave, Memphis, TN 38119 • United States

Memphis , TN • United States

Disclosures

2 disclosure categories 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 Yes
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Memphis TN 09/1983 Present
Bank Of America, Na Germantown TN 12/2009 Present
Other Businesses

I*103724 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: MANITOU INVESTMENT COMPANY INVESTMENT RELATED: N ADDRESS OF BUSINESS: GERMANTOWN, TENNESSEE 38187 NATURE OF BUSINESS: CORPORATION, POSITION, TITLE, ASSOCIATION: DIRECTOR, START DATE OF RELATIONSHIP: 3/21/2017 NUMBER OF HOURS DEVOTED: 2 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THIS IS A PASSIVE REAL ESTATE INVESTMENT THAT I ACT AS THE FAMILY REP FOR THE 1/3 INTEREST. I HAVE MY MOTHER'S PROXY AND P.O.A. I*103720 For profit or not for profit: For-Profit Organization Name of outside business organization: Mackinac Investment Co Investment related: N Address of business: Germantown, Tennessee 38187 Nature of business: Corporation, Position, title, association: Director, Start date of relationship: 3/21/2017 Number of hours devoted: 2 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: My mother's proxy board rep for passive rental property. She owns 1/3 interest. I*491700, Entity Type Fiduciary, Name of OBA: EAT Address: Memphis, Tennessee, 38117 Investment Related: Yes Position, Title, Association: Trustee Employee Start Date: 10-Oct-2017 No Hours: 1 Monthly No Hours during trading:1 Monthly Duties:

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-03-23
S63 Uniform Securities Agent State Law Examination 1984-01-03
  • S65 Uniform Investment Adviser Law Examination
    1994-03-23
  • S63 Uniform Securities Agent State Law Examination
    1984-01-03
Other Names
  • George Carroll Todd
  • G Carroll Todd

View on SEC IAPD

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