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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 2025-02-14
AR RA APPROVED 2025-02-05
  • TX RA
    APPROVED
    Since 2025-02-14
  • AR RA
    APPROVED
    Since 2025-02-05

Branch Locations

3954 Central Ave, Hot Springs, AR 71913 • 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
Cadence Bank Hot Springs AR 01/2023 06/2023
Peoples Bank Magnolia AR 08/2013 01/2023
Raymond James Financial Services, Inc. Hot Springs National Park AR 07/2023 12/2024
Comstock Private Wealth Management Hot Springs National Park AR 07/2023 01/2025
Raymond James Financial Services Advisors, Inc Hot Springs National Park AR 10/2023 12/2024
Merrill Lynch, Pierce, Fenner & Smith Incorporated Hot Springs AR 01/2025 Present
Bank Of America, N.A. Hot Springs AR 02/2025 Present
  • 01/2023 → 06/2023
    Cadence Bank
    Hot Springs, AR
  • 08/2013 → 01/2023
    Peoples Bank
    Magnolia, AR
  • 07/2023 → 12/2024
    Raymond James Financial Services, Inc.
    Hot Springs National Park, AR
  • 07/2023 → 01/2025
    Comstock Private Wealth Management
    Hot Springs National Park, AR
  • 10/2023 → 12/2024
    Hot Springs National Park, AR
  • 01/2025 → Present
    Hot Springs, AR
  • 02/2025 → Present
    Bank Of America, N.A.
    Hot Springs, AR
Previous Registrations
Other Businesses

I*2188304, Entity Type: Entity Charitable, Name of OBA: All Children's Academy, Address: Hot Springs, Arkansas, 71913, Investment Related: N, Position, Title, Association: Board Member, Employee State Date: 09/10/2024, No Hours: 2 Monthly, No Hours during Trading: 0 Monthly, Duties: I am a board member that just gives opinions on current decisions. All Children's Academy is a private micro-school and so far I have helped with their decision on budgets as well as how to allocate funds. I do not give any investment advice. I am not the main person over the budget either, just helping with the main person to think through strategies on how to keep the budget afloat. I*: 3010271 Entity Type: For Profit Name of OBA: M. L. (myself) Address: Hot Springs, AR 71913 Investment Related: No Position, Title, Association: Guitar player Employee Start Date: 11/01/2025 Number of Hours: 9 hrs mthly Number of Hours during trading: 0 Duties: Playing guitar for entertainment purposes.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-10-23
  • S66 Uniform Combined State Law Examination
    2023-10-23
Other Names
  • Mitchell Lowe

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