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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 2023-08-31
GA RA APPROVED 2023-08-18
  • TX RA
    APPROVED_RES
    Since 2023-08-31
  • GA RA
    APPROVED
    Since 2023-08-18

Branch Locations

3455 Peachtree Rd Ne, Atlanta, GA 30326 • 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
E*Trade Securities Llc Alpharetta GA 04/2018 10/2018
Pyramid Consulting Inc. Alpharetta GA 02/2018 04/2018
Alorica Inc. Kennesaw GA 02/2017 11/2017
Vitel Communications Llc Tucker GA 06/2013 02/2017
Unemployed Acworth GA 12/2017 02/2018
E*Trade Securities Llc Alpharetta GA 10/2018 02/2020
E*Trade Securities Llc Alpharetta GA 02/2020 06/2020
E*Trade Capital Management Llc Alpharetta GA 04/2020 06/2020
E*Trade Securities Llc Alpharetta GA 06/2020 12/2020
E*Trade Capital Management Llc Alpharetta GA 06/2020 12/2020
E*Trade Securities Llc Alpharetta GA 12/2020 01/2021
E*Trade Capital Management Llc Alpharetta GA 12/2020 01/2021
E*Trade Securities Llc Alpharetta GA 01/2021 08/2023
E*Trade Capital Management Llc Alpharetta GA 01/2021 08/2023
Morgan Stanley Alpharetta GA 11/2022 08/2023
Merrill Lynch, Pierce, Fenner & Smith Incorporated Atlanta GA 08/2023 Present
Bank Of America, N.A. Atlanta GA 08/2023 Present
  • 04/2018 → 10/2018
    E*Trade Securities Llc
    Alpharetta, GA
  • 02/2018 → 04/2018
    Pyramid Consulting Inc.
    Alpharetta, GA
  • 02/2017 → 11/2017
    Alorica Inc.
    Kennesaw, GA
  • 06/2013 → 02/2017
    Vitel Communications Llc
    Tucker, GA
  • 12/2017 → 02/2018
    Unemployed
    Acworth, GA
  • 10/2018 → 02/2020
    E*Trade Securities Llc
    Alpharetta, GA
  • 02/2020 → 06/2020
    E*Trade Securities Llc
    Alpharetta, GA
  • 04/2020 → 06/2020
    E*Trade Capital Management Llc
    Alpharetta, GA
  • 06/2020 → 12/2020
    E*Trade Securities Llc
    Alpharetta, GA
  • 06/2020 → 12/2020
    E*Trade Capital Management Llc
    Alpharetta, GA
  • 12/2020 → 01/2021
    E*Trade Securities Llc
    Alpharetta, GA
  • 12/2020 → 01/2021
    E*Trade Capital Management Llc
    Alpharetta, GA
  • 01/2021 → 08/2023
    E*Trade Securities Llc
    Alpharetta, GA
  • 01/2021 → 08/2023
    E*Trade Capital Management Llc
    Alpharetta, GA
  • 11/2022 → 08/2023
    Morgan Stanley
    Alpharetta, GA
  • 08/2023 → Present
    Atlanta, GA
  • 08/2023 → Present
    Bank Of America, N.A.
    Atlanta, GA
Previous Registrations
  • 2020-06-03 → 2023-08-11
    Harrisdirect Llc
    Alpharetta, GA
    Arlington, VA
    Alpharetta, GA
    Alpharetta, GA
    Alpharetta, GA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-05-29
S63 Uniform Securities Agent State Law Examination 2018-07-25
  • S66 Uniform Combined State Law Examination
    2020-05-29
  • S63 Uniform Securities Agent State Law Examination
    2018-07-25
Other Names
  • Lloyd G Phipps
  • Lloyd George Phipps
  • Lloyd George Phipps
  • Lloyd Phipps

View on SEC IAPD

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