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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 2024-01-17
NC RA APPROVED 2022-07-15
OH RA APPROVED 2019-05-28
  • TX RA
    APPROVED_RES
    Since 2024-01-17
  • NC RA
    APPROVED
    Since 2022-07-15
  • OH RA
    APPROVED
    Since 2019-05-28

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
T3 Trading Group, Llc New York NY 02/2018 01/2019
Union Square Practice New York NY 05/2017 08/2017
Oberlin College Oberlin OH 09/2014 05/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated Cleveland OH 03/2019 Present
Rust Belt Pepper Co. Canton OH 02/2019 03/2019
Bank Of America, N.A. Cleveland OH 04/2019 Present
  • 02/2018 → 01/2019
    T3 Trading Group, Llc
    New York, NY
  • 05/2017 → 08/2017
    Union Square Practice
    New York, NY
  • 09/2014 → 05/2018
    Oberlin College
    Oberlin, OH
  • 03/2019 → Present
    Cleveland, OH
  • 02/2019 → 03/2019
    Rust Belt Pepper Co.
    Canton, OH
  • 04/2019 → Present
    Bank Of America, N.A.
    Cleveland, OH
Other Businesses

I*7916For profit or not for profit: Name of outside business organization: Samuel HarrisInvestment related: Address of business:Cleveland, Ohio 44720Nature of business: ,Position, title, association: , Start date of relationship: 3/1/2019Number of hours devoted: 5 hour(s) Number of hours devoted during trading hours: 0Duties: Rental Property I*3127265 Entity Type: N/A Name of OBA: Rental Property 1 Address: Asheville, North Carolina, 28801 Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date: 11/10/2025 Number of Hours: 5, Weekly Number of Hours during trading: 0, Weekly Duties: N/A

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-05-24
  • S66 Uniform Combined State Law Examination
    2019-05-24
Other Names
  • Samuel Sar Harris
  • Sam Harris
  • Samuel Harris

View on SEC IAPD

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