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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 2015-08-28
NC RA APPROVED 2015-08-10
  • TX RA
    APPROVED
    Since 2015-08-28
  • NC RA
    APPROVED
    Since 2015-08-10

Branch Locations

1 N Pack Sq, Asheville, NC 28801 • 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 Asheville NC 11/1998 Present
Previous Registrations
Other Businesses

I*2032268, Entity Type, Entity Charitable, Name of OBA: Meadows of Bradley Branch Board, Address: Arden, NC, 28704, Investment Related: No, Position, Title, Association: Board Mbr, Employee Start Date: 10/03/2024, No Hours: 3hrs/Ann, No Hours during trading: 0, Duties: Community HOA, sit on board meetings.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-11-21
  • S66 Uniform Combined State Law Examination
    2002-11-21

View on SEC IAPD

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