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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 2008-07-11
VA RA APPROVED 1991-06-20
  • TX RA
    APPROVED
    Since 2008-07-11
  • VA RA
    APPROVED
    Since 1991-06-20

Branch Locations

999 Waterside Dr, Norfolk, VA 23510 • 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 Norfolk VA 05/1989 Present
Bank Of America, N.A. Norfolk VA 09/2009 Present
Other Businesses

I*574258 Entity Type: For Profit Name: Rental Investment related: No Address s: VA Bch, VA 23455 Position: General Partner/Managing Member Start: 11/1/2021 Hours: 20 hrs Yearly During trading Hrs: 0 Duties: home owner I*574260 Entity Type: For Profit Name: Rental Investment related: No Address of business: VA Bch, VA 23455 Position: General Partner/Managing Member Start date of relationship: 11/1/2021 Hrs devoted: 20 hours Yearly Hrs devoted during trading hours: 0 Duties: Home Owner I*574262 For Profit Name: Rental Investment related: No Address of business: Afton, VA 22920 Position: General Partner/Managing Member Start date of relationship: 11/1/2021 Number of hrs: 5 hrs Yearly During trading hrs: 0 Duties: Home Owner I*574263 For Profit Name: Rental Investment related: No Address of business: Duck, NC 27949 Position: General Partner/Managing Member Start date of relationship: 11/1/2021 Number of hours: 20 hrs Yearly During trading hrs: 0 Duties: Home Owner I*34360 FOR-PROFIT ORGANIZATION NAME: BCE INVESTMENTS -REAL ESTATE LLC INVESTMENT RELATED: YES ADDRESS OF BUSINESS: VA BCH, VA 23452 POSITION: LIMITED PARTNER START DATE OF RELATIONSHIP: 6/1/2006 NUMBER OF HRS DEVOTED: 0 NUMBER OF HRS DEVOTED DURING TRADING HRS: 0 DUTIES: MEMBER NONE WINTERGREEN PROPERTY LLC, SKI HOUSE, LIMITED PARTNER, 10/1/04, 0HRS MNTH, 0HRS DRNG TRDNG, NOT INVST RLTD. FLORIDA LAND HOLDINGS, LLC; VIRGINIA BEACH VA;NOT INVST RLTD;REAL ESTATE;INVESTOR;ST DT-06-19-2009; # HRS MNT-0 - 20; #HRS DR TRDG-0;THIS INVESTMENT IS IN CONJUNCTION WITH MY FA PARTNERS HERE AT ML AND IN STRICTLY A REAL ESTATE PURCHASE. ENTITY TYPE: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: SUMMER RENTAL FORE-SHORE INVESTMENT RELATED: NO ADDRESS OF BUSINESS: CORROLA, NC 27927 POSITION: OWNER START DATE OF RELATIONSHIP: 5/30/2013 NUMBER OF HRS DEVOTED: 40 HRS ANNUALLY NUMBER OF HRS DEVOTED DURING TRADING HRS: 0 DUTIES: HOME OWNER FOR-PROFIT ORGANIZATION NAME: SUMMER RENTAL OBX THISTLE DEW INVESTMENT RELATED: NO ADDRESS OF BUSINESS: CORROLA, NC 27927 POSITION: OWNER START: 5/30/2012 NUMBER OF HRS DEVOTED: 40 HRS ANNUALLY NUMBER OF HRS DEVOTED DURING TRADING HRS: 0 DUTIES: OWNER OF THE HOUSE I*64560 FOR-PROFIT ORGANIZATION NAME : CC7 LLC INVESTMENT RELATED: NO ADDRESS OF BUSINESS: CORROLA NC 27927 POSITION: OWNER START DATE OF RELATIONSHIP: 5/30/2012 HOURS: 40 ANNUALLY HRS DURING TRADING HRS: 0 DUTIES: OWNER OF THE HOUSE I*64559 ENTITY TYPE: FOR-PROFIT ORGANIZATION NAME: CC10 LLC INVESTMENT RELATED: NO ADDRESS OF BUSINESS: CORROLA NC 27927 POSITION: OWNER START : 5/30/2013 HOURS : 40 ANNUALLY HRS TRADING HRS: 0 DUTIES: HOME OWNER I*128655 For-Profit Organization Name: LLC Investment related: No Address of business: Columbia, SC 29201 Nature of business: Family Business General Partner Start : 12/12/2019 hours devoted: 20 hrs Annually During trading hours: 0 Duties: Home owner I*574259 For Profit Name: PKC Soup LLC Investment related: No Address of business: VA Bch, VA, 23451 Position: General Partner/Managing Member Start Date: 11/1/2021 Hours devoted: 20 hrs annually Hour devoted during trading; 0 Duties: LLC for personal rental properties. I*: 2934289 Entity Type: Fiduciary role Name: F. C. Address: VA Bch, VA 23454 Investment Related: No Position: Power of Attorney Employee Start Date: 08/10/2025 Number of Hours: 1 hr mthly Number of Hours during trading: 1 hr mthly Duties: Power of Attorney/ Self, Parents I*: 2934291 Entity Type: Fiduciary role Name: F.C. Address: VA Bch, 23454 Investment Related: No Position Power of Attorney Employee Start Date: 09/22/2025Hours: 1 hr annually Hours during trading: 1 hr annually Duties: Power of Attorney / Self, Parents I*: 2937276 Entity Type: Fiduciary role Name: F. C. IRRAAddress: Virginia Beach, VA 23454 Investment Related: No Position: Power of AttorneyEmployee Start Date: 09/22/2025 Hours: 1 hr annually Hours during trading: 1 hr annually Duties: Power of Attorney / Self, Parents

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1991-05-29
S63 Uniform Securities Agent State Law Examination 1986-01-02
  • S65 Uniform Investment Adviser Law Examination
    1991-05-29
  • S63 Uniform Securities Agent State Law Examination
    1986-01-02

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