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Samantha Jo Roberts

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Charlotte, NC

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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 2025-06-07
NC RA APPROVED 2023-11-22
  • TX RA
    APPROVED_RES
    Since 2025-06-07
  • NC RA
    APPROVED
    Since 2023-11-22

Branch Locations

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
Wells Fargo Clearing Servces, Llc. Charlotte NC 01/2018 08/2021
Wells Fargo Bank Na Charlotte NC 11/2014 08/2021
Truist Investment Services, Inc Atlanta GA 08/2021 10/2023
Truist Advisory Services, Inc Atlanta GA 08/2021 10/2023
Merrill Lynch, Pierce, Fenner & Smith Incorporated Charlotte NC 10/2023 Present
Gaston College Gastonia NC 08/2020 05/2021
Bank Of America, N.A. Charlotte NC 12/2023 Present
  • 01/2018 → 08/2021
    Wells Fargo Clearing Servces, Llc.
    Charlotte, NC
  • 11/2014 → 08/2021
    Wells Fargo Bank Na
    Charlotte, NC
  • 08/2021 → 10/2023
    Truist Investment Services, Inc
    Atlanta, GA
  • 08/2021 → 10/2023
    Truist Advisory Services, Inc
    Atlanta, GA
  • 10/2023 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Charlotte, NC
  • 08/2020 → 05/2021
    Gaston College
    Gastonia, NC
  • 12/2023 → Present
    Bank Of America, N.A.
    Charlotte, NC
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-10-29
S63 Uniform Securities Agent State Law Examination 2018-06-07
  • S66 Uniform Combined State Law Examination
    2020-10-29
  • S63 Uniform Securities Agent State Law Examination
    2018-06-07
Other Names
  • Samantha Jo Kramer
  • Samantha J Kramer
  • Samantha Kramer
  • Samantha J Roberts

View on SEC IAPD

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