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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2003-01-06
TX RA APPROVED_RES 1999-05-07
  • NC RA
    APPROVED
    Since 2003-01-06
  • TX RA
    APPROVED_RES
    Since 1999-05-07

Branch Locations

1 N Pack Sq, Asheville, NC 28801 • 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 Asheville NC 04/1987 Present
Bank Of America, N.A. Asheville NC 09/2009 Present
Other Businesses

I*927454For profit or not for profit:Entity For Profit Name of outside business organization: TBF Partners Investment related: N Address of business: Brooksville, Florida, 34605 Position, title, association: Owner,Other, Start date of relationship: 12/31/2005Number of hours devoted: 0 hour(s) WeeklyNumber of hours devoted during trading hours: 0Duties: I have no responsibilities.This is a family real estate partnership my father in law set up for tax reasons. I* 476703For profit or not for profit: Entity For ProfitName of outside business organization: Penland Bailey CompanyInvestment related: noAddress of business: Winston Salem, NC, 27106Nature of business: CorporationPosition, title, association: DirectorStart date of relationship: 05/08/2014Number of hours devoted: 10 yearlyNumber of hours devoted during trading hours: 2Duties: Mining/forestery and leasingBoard of our family business I *2230260, Entity Type: , Name of OBA: Biltmore Forest Country Club, Address: Asheville NC 28803, Investment Related: N, Position, Title, Association: Committee member , Employee State Date: , 4/1/2025 , No Hours: 2 monthly , No Hours during Trading: 2 monthly, Duties: Serve on the membership committee I*2230260, Entity Type: , Name of OBA: Biltmore Forest Country Club, Address: Asheville, North Carolina, 28803, Investment Related: N, Position, Title, Association: Board Member, Employee Start Date: 04/01/2025, No Hours: 6 Monthly, No Hours during Trading: 0 Monthly, Duties: Will serve on the Board, but do not know which committee yet. Some of the duties include Clubhouse renovations, golf course projects, grounds projects, member dues, member disciplinary issues and hiring of key personnel. Social private country club

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-07-24
S63 Uniform Securities Agent State Law Examination 1984-06-29
  • S65 Uniform Investment Adviser Law Examination
    2002-07-24
  • S63 Uniform Securities Agent State Law Examination
    1984-06-29

View on SEC IAPD

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