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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 2013-06-25
NC RA APPROVED 2009-09-22
  • TX RA
    APPROVED_RES
    Since 2013-06-25
  • NC RA
    APPROVED
    Since 2009-09-22

Branch Locations

380 Knollwood St, Winston Salem, NC 27103 • United States

620 S Tryon St, Charlotte, NC 28255 • 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 Winston-Salem NC 09/2009 Present
Bank Of America, N.A. Winston-Salem NC 03/2002 Present
Previous Registrations
  • 2005-11-28 → 2009-09-28
    Bofa Advisors, Llc
    Winston Salem, NC
  • 2003-04-09 → 2004-04-13
    Banc Of America Investment Services, Inc.
    Winston Salem, NC
Other Businesses

I*516982 For profit or not for profit: Entity Charitable Name of outside business organization: The Winston-Salem Foundation Investment related: Y Address of business: Winston-Salem, North Carolina, 27101 Nature of business: ["Charitable Organization"] Position, title, association: ["Board Member"], Start date of relationship: 1/3/2022 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 4 Duties: The WSF is a community foundation that has several primary purposes-grantmaker to public charities, community convener and administrator of charitable funds. My proposed role is to serve as a Board Member for the 2022-2025 term. I*126887 For profit or not for profit: Non-Profit Organization Name of outside business organization: Haiti Outreach Ministries Investment related: N Address of business: Durham, North Carolina 27722 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 1/1/2020 Number of hours devoted: 4 hour(s) Quarterly Number of hours devoted during trading hours: 0 Duties: I have been invited to join the new HOM Advisory Board. There would be quarterly, virtual meetings (after work hours). Advisory Board responsibilities include raising funds for HOM. I*1220253 For profit or not for profit: Entity Charitable Name of outside business organization: Orion Military Scholarship Fund Investment related: N Address of business: Jamestown, Rhode Island, 02835 Nature of business: ["Charitable Organization"] Position, title, association: ["Board Member"], Start date of relationship: 5/1/2023 Number of hours devoted: 12 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: , Board Member of scholarship fund that raises and distributes annual boarding school scholarship support for children of active military families.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-04-08
S63 Uniform Securities Agent State Law Examination 2002-10-31
  • S65 Uniform Investment Adviser Law Examination
    2003-04-08
  • S63 Uniform Securities Agent State Law Examination
    2002-10-31
Other Names
  • Ben Thomas Lawson
  • Ben Thomas Lawson

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