R Mitchell Wickham

Current Employers

Employment History

• 05/1999 → 01/2020
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Charlotte, NC
• 12/2009 → 01/2020
  Bank Of America, Na
  Charlotte, NC
• 01/2020 → Present
  Ubs Financial Services Inc.
  Charlotte, NC

Previous Registrations

• 2000-01-05 → 2020-01-21
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Charlotte, NC
  Charlotte, NC

Other Businesses

I*44829 For profit or not for profit: For-Profit Organization Name of outside business organization: CHARLOTTE VENTURES LLC Investment related: Y Address of business: CHARLOTTE, North Carolina 28209 Nature of business: LLC, Position, title, association: Limited Partner, Start date of relationship: 10/10/2008 Number of hours devoted: 1 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: LLC for personal investment purposes only 2)I*77169 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: STANWICK & DUNHAM LLC INVESTMENT RELATED: Y ADDRESS OF BUSINESS: CHARLOTTE, NORTH CAROLINA 28202 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: LIMITED PARTNER, START DATE OF RELATIONSHIP: 12/1/2014 NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: REAL ESTATE INVESTMENT LLC. I AM A PASSIVE INVESTOR FOR THE ENTITY. WILL HAVE NO RESPONSIBILITIES. 3) I*74817 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL PROPERTY INVESTMENT RELATED: Y ADDRESS OF BUSINESS: BRECKENRIDGE, COLORADO 80424 NATURE OF BUSINESS: OTHER,PERSONALLY OWNED REAL ESTATE POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 12/20/2013 NUMBER OF HOURS DEVOTED: 0 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: PERSONAL HOME THAT WE RENT OUT WHEN WE ARE NOT USING IT. 4) I*83892 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: CHARLOTTE LATIN SCHOOLS INVESTMENT RELATED: N ADDRESS OF BUSINESS: CHARLOTTE, NORTH CAROLINA 28277 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 7/1/2015 NUMBER OF HOURS DEVOTED: 3 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 1 DUTIES: GENERAL MEMBER OF THE ANNUAL CAMPAIGN COMMITTEE. HELP WITH FUNDRAISING ACTIVITIES. I*118474 For profit or not for profit: Non-Profit Organization Name of outside business organization: The Church of the Holy Comforter Investment related: N Address of business: Charlotte, North Carolina 28209 Nature of business: Charitable Organization, Position, title, association: Committee Member, Start date of relationship: 12/1/2018 Number of hours devoted: 3 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: This is the local church that I attend. I have been asked to sit on the Endowment Committee and serve only on the planning sub-committee. I have be involved in future growth project planning, i.e. expanding parking lots, additions to buildings. Name of Business- North South Wildlife Preserve LLC / Address- Charlotte, NC 28207 / Investment Related- NO / Nature- Sporting Club / Role- Officer / Duty- Pay the property lease and other limited sundry expenses / Start Date- 10/1/2021 / Time Required- No

Exams

• S65 Uniform Investment Adviser Law Examination
  2002-07-12
• S66 Uniform Combined State Law Examination
  1999-07-30

Other Names

• Robert M Wickham
• Robert Mitchell Wickham
• R. Mitchell Wickham