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Carol Clements Mclawhorn

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Norfolk, VA

Belvidere, NC

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2020-11-09
TX RA APPROVED 2020-03-30
VA RA APPROVED 2020-03-17
  • NC RA
    APPROVED
    Since 2020-11-09
  • TX RA
    APPROVED
    Since 2020-03-30
  • VA RA
    APPROVED
    Since 2020-03-17

Branch Locations

999 Waterside Dr, Norfolk, VA 23510 • United States

Belvidere, NC • 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
Wells Fargo Advisors Llc Suffolk VA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Suffolk VA 11/2016 12/2018
Morgan Stanley Virginia Beach VA 12/2018 01/2020
Morgan Stanley Private Bank, N.A New York NY 12/2018 01/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated Norfolk VA 03/2020 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-04-26
S63 Uniform Securities Agent State Law Examination 2003-01-11
  • S65 Uniform Investment Adviser Law Examination
    2003-04-26
  • S63 Uniform Securities Agent State Law Examination
    2003-01-11
Other Names
  • Carol Clements Olson
  • Carol Lucille Clements
  • Carol C Mclawhorn
  • Carol Clements Mclawhorn
  • Carol Mclawhorn

View on SEC IAPD

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