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Carter John Harris

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Waco, TX

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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 1998-07-15
  • TX RA
    APPROVED
    Since 1998-07-15

Branch Locations

510 N Valley Mills Dr, Waco, TX 76710 • 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 Waco TX 07/1988 Present
Bank Of America,N.A. Waco TX 06/2011 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-05-02
S63 Uniform Securities Agent State Law Examination 1992-01-07
  • S65 Uniform Investment Adviser Law Examination
    1997-05-02
  • S63 Uniform Securities Agent State Law Examination
    1992-01-07

View on SEC IAPD

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Other Offices

THE ASPEN EQUITY GROUP · WACO, TX
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ACADEMY CAPITAL MANAGEMENT · WACO, TX
ACADEMY CAPITAL MANAGEMENT · WACO, TX
J.P. MORGAN SECURITIES LLC · WACO, TX
JOHN WESSLER & ASSOCIATES · WACO, TX
EDWARD JONES · WACO, TX
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · WACO, TX

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