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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2007-01-23
TX RA APPROVED 2006-06-30
FL RA APPROVED 1985-08-28
  • GA RA
    APPROVED
    Since 2007-01-23
  • TX RA
    APPROVED
    Since 2006-06-30
  • FL RA
    APPROVED
    Since 1985-08-28

Branch Locations

3455 Peachtree Rd Ne Pbig - Atlanta Pw, 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Pensacola FL 07/1981 Present
Other Businesses

I*136923 For profit or not for profit: For-Profit Organization Name of outside business organization: Ann Hart Partners, LLC Investment related: N Address of business: Orlando, Florida 32803 Nature of business: LLC, Compensation for Activity: Y Position, title, association: Family Held, Start date of relationship: 44295 Number of hours devoted: 5 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: I will be responsible for general cash management and control of the family LLC.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-12-20
S63 Uniform Securities Agent State Law Examination 2000-05-01
  • S66 Uniform Combined State Law Examination
    2003-12-20
  • S63 Uniform Securities Agent State Law Examination
    2000-05-01

View on SEC IAPD

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