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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 2025-06-12
NC RA APPROVED 2025-04-17
  • TX RA
    APPROVED
    Since 2025-06-12
  • NC RA
    APPROVED
    Since 2025-04-17

Branch Locations

401 N Tryon St Ci Client Services, 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
Northwest Bank Erie PA 03/2023 08/2024
Penn State Libraries Erie PA 08/2019 12/2022
Bemus Point Schools Bemus Point NY 07/2017 05/2023
Taylor Rentals Falconer NY 06/2015 09/2016
Lpl Financial Llc Erie PA 02/2024 08/2024
Unemployed Erie PA 12/2022 03/2023
Merrill Lynch, Pierce, Fenner & Smith Incorporated Charlotte NC 01/2025 Present
Target Charlotte NC 11/2024 01/2025
Unemployed Charlotte NC 08/2024 11/2024
Unemployed Falconer NY 10/2016 06/2017
  • 03/2023 → 08/2024
    Northwest Bank
    Erie, PA
  • 08/2019 → 12/2022
    Penn State Libraries
    Erie, PA
  • 07/2017 → 05/2023
    Bemus Point Schools
    Bemus Point, NY
  • 06/2015 → 09/2016
    Taylor Rentals
    Falconer, NY
  • 02/2024 → 08/2024
    Lpl Financial Llc
    Erie, PA
  • 12/2022 → 03/2023
    Unemployed
    Erie, PA
  • 01/2025 → Present
    Charlotte, NC
  • 11/2024 → 01/2025
    Target
    Charlotte, NC
  • 08/2024 → 11/2024
    Unemployed
    Charlotte, NC
  • 10/2016 → 06/2017
    Unemployed
    Falconer, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-04-15
S63 Uniform Securities Agent State Law Examination 2024-05-14
  • S66 Uniform Combined State Law Examination
    2025-04-15
  • S63 Uniform Securities Agent State Law Examination
    2024-05-14
Other Names
  • Brody Rowan

View on SEC IAPD

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