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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 2012-06-05
GA RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2012-06-05
  • GA RA
    APPROVED
    Since 2009-10-23

Branch Locations

300 Galleria Pkwy Se, Atlanta, GA 30339 • 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 Atlanta GA 10/2009 Present
Bank Of America, N.A. Atlanta GA 05/2011 Present
Previous Registrations
  • 1998-01-01 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Dalton, GA
    Kennesaw, GA
    Kennesaw, GA
    Dalton, GA
Other Businesses

I*6859For profit or not for profit: Name of outside business organization: Douglas PetersonInvestment related: Address of business: Woodstock, Georgia 30189Nature of business: , Position, title, association: , Start date of relationship: 8/15/2018Number of hours devoted: 1 hour(s) Number of hours devoted during trading hours: 0Duties: I*1260347, Entity Type: , Name of OBA: J and O L P JT CMA XXX-XXXXX , Address: College Place, Washington, 99423, Investment Related: N, Position, Title, Association: Power of Attorney, Employee Start Date: 04/19/2023, No Hours: 1 Yearly, No Hours during Trading: 0 Yearly, Duties: I*1261273, Entity Type: , Name of OBA: O L P XXX-XXXXX, Address: College Place, Washington, 99324, Investment Related: N, Position, Title, Association: Power of Attorney, Employee Start Date: 04/19/2023, No Hours: 1 Yearly, No Hours during Trading: 0 Yearly, Duties: I*1261274, Entity Type: , Name of OBA: J P IRA XXX-XXXXX, Address: College Place, Washington, 99324, Investment Related: N, Position, Title, Association: Power of Attorney, Employee Start Date: 04/19/2023, No Hours: 1 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-10-23
S63 Uniform Securities Agent State Law Examination 1984-07-26
  • S65 Uniform Investment Adviser Law Examination
    1995-10-23
  • S63 Uniform Securities Agent State Law Examination
    1984-07-26

View on SEC IAPD

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