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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2025-10-29
  • NC RA
    APPROVED
    Since 2025-10-29

Branch Locations

620 S Tryon St, Charlotte, NC 28255 • United States

One Bryant Park, New York, NY 10036 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Charlotte NC 03/2025 Present
Linden Thomas & Company Securities Llc Charlotte NC 08/2023 03/2025
Charlotte Mecklenburg Schools Charlotte NC 07/2020 06/2023
The Indigo Road Charlotte NC 06/2021 Present
Vail Resorts South Lake Tahoe CA 10/2018 05/2019
Rutledge Cab Company Charleston SC 03/2017 10/2018
Duvall Catering Charleston SC 08/2014 03/2017
Fitzgerald's Charlotte NC 08/2019 04/2020
Salthouse Catering South Lake CA 05/2018 08/2018
Osi Resataurant Charlotte NC 04/2019 06/2019
Crestview Management Charlotte NC 11/2020 05/2021
Southpark Hotel Charlotte NC 06/2021 12/2024
Dewberry Group Charleston SC 12/2016 04/2017
  • 03/2025 → Present
    Charlotte, NC
  • 08/2023 → 03/2025
    Linden Thomas & Company Securities Llc
    Charlotte, NC
  • 07/2020 → 06/2023
    Charlotte Mecklenburg Schools
    Charlotte, NC
  • 06/2021 → Present
    The Indigo Road
    Charlotte, NC
  • 10/2018 → 05/2019
    Vail Resorts
    South Lake Tahoe, CA
  • 03/2017 → 10/2018
    Rutledge Cab Company
    Charleston, SC
  • 08/2014 → 03/2017
    Duvall Catering
    Charleston, SC
  • 08/2019 → 04/2020
    Fitzgerald's
    Charlotte, NC
  • 05/2018 → 08/2018
    Salthouse Catering
    South Lake, CA
  • 04/2019 → 06/2019
    Osi Resataurant
    Charlotte, NC
  • 11/2020 → 05/2021
    Crestview Management
    Charlotte, NC
  • 06/2021 → 12/2024
    Southpark Hotel
    Charlotte, NC
  • 12/2016 → 04/2017
    Dewberry Group
    Charleston, SC
Other Businesses

Name of other business The Indigo Road Hospitality Group Whether the business is investment- related No Address of the other business Charlotte NC Nature of the other businessHospitality Industry Your position Banquet Server Title, or relationship with the other businessHospitality Industry Start of your relationship June 2021 Approximate number of hours/ month you devote to the other business <8 hours Number of hours you devote to the other business during securities trading hours0 hours Briefly describe your duties relating to the other business I occasionally help out Indigo Road as a Banquet Server at the Hyatt Centric in Charlotte, NC. We host events and provide exceptional service to clients while ensuring all facets of the event are running according to plan.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-10-29
  • S66 Uniform Combined State Law Examination
    2025-10-29
Other Names
  • Alyssa Catherine Burtis

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