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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 2025-11-20
NC RA APPROVED 2025-10-08
  • TX RA
    APPROVED
    Since 2025-11-20
  • NC RA
    APPROVED
    Since 2025-10-08

Branch Locations

401 N Tryon St Ci Client Services, 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
Truist Bank Greensboro NC 02/2022 09/2023
Wells Fargo Bank Las Vegas NV 05/2019 02/2022
Express Raleigh NC 12/2017 05/2019
Campbell University Buies Creek NC 01/2016 05/2018
Food Lion Lillington NC 07/2013 07/2017
Thrivent Investment Management Inc Raleigh NC 06/2023 01/2024
Thrivent Financial Appleton WI 09/2023 01/2025
Thrivent Financial Appleton WI 09/2023 01/2025
Merrill Lynch, Pierce, Fenner & Smith Incorporated Rolling Meadows IL 08/2025 Present
N/A N/A XX 01/2025 08/2025
Us Trust Company Of Delaware Wilmington DE 06/2017 08/2017
  • 02/2022 → 09/2023
    Truist Bank
    Greensboro, NC
  • 05/2019 → 02/2022
    Wells Fargo Bank
    Las Vegas, NV
  • 12/2017 → 05/2019
    Express
    Raleigh, NC
  • 01/2016 → 05/2018
    Campbell University
    Buies Creek, NC
  • 07/2013 → 07/2017
    Food Lion
    Lillington, NC
  • 06/2023 → 01/2024
    Raleigh, NC
  • 09/2023 → 01/2025
    Thrivent Financial
    Appleton, WI
  • 09/2023 → 01/2025
    Thrivent Financial
    Appleton, WI
  • 08/2025 → Present
    Rolling Meadows, IL
  • 01/2025 → 08/2025
    N/A
    N/A, XX
  • 06/2017 → 08/2017
    Us Trust Company Of Delaware
    Wilmington, DE
Previous Registrations
Other Businesses

I*: 2819272 ENTITY TYPE: FOR PROFIT NAME: AFFINITY BUSINESS AND COMMUNITY DEVELOPMENT LLC ADDRESS: Durham, NC 27709 POSITION: Managing Member INVESTMENT RELATED: No START DATE: 09/30/2024 NUMBER OF HOURS: 15 HRS WKLY SECURITIES TRADING HOURS: 0 START DATE: 09/30/2024 DUTIES: Real Estate Development I*: 2820270 Entity Type: For Profit Name: Danair Company LLC Investment-relate: No Address: Raleigh, NC 27601 Title, or relationship with the other business: Managing Member, Owner Start date of your relationship: 06/2/2022 Approximate number of hours/month you devote to the other business: 0 Number of hours you devote to the other business during securities trading hours: 0 Duties: Managing Member, no other duties since the entity does not have any functions currently

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-09-02
  • S66 Uniform Combined State Law Examination
    2023-09-02
Other Names
  • Tia Moore

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