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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 2009-10-23
SC RA APPROVED 2009-06-23
  • NC RA
    APPROVED
    Since 2009-10-23
  • SC RA
    APPROVED
    Since 2009-06-23

Branch Locations

620 S Tryon St Central Business Review Unit, Charlotte, NC 28255 • United States

101 Hudson St Central Business Review Unit, Jersey City, NJ 07302 • United States

Rock Hill, SC • 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
Bank Of America, N.A. Camden NC 06/1998 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated New York NY 10/2009 Present
Previous Registrations
  • 2003-12-16 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Charlotte, NC
    Charlotte, NC
    Boston, MA
    Camden, SC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-12-15
S63 Uniform Securities Agent State Law Examination 1984-08-28
  • S66 Uniform Combined State Law Examination
    2003-12-15
  • S63 Uniform Securities Agent State Law Examination
    1984-08-28

View on SEC IAPD

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