Best Investors Account Sign in
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-01-24
GA RA APPROVED 2017-03-27
  • TX RA
    APPROVED_RES
    Since 2023-01-24
  • GA RA
    APPROVED
    Since 2017-03-27

Branch Locations

3455 Peachtree Rd Ne, Atlanta, GA 30326 • United States

620 S Tryon St, Charlotte, NC 28255 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • 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 Atlanta GA 03/2017 Present
Unemployed Severance Atlanta GA 03/2016 03/2017
Bank Of America, N.A. Atlanta GA 03/2017 Present
Previous Registrations
  • 2011-01-31 → 2016-03-15
    Bb&T Investment Services, Inc.
    Charlotte, NC
    Atlanta, GA
  • 2010-02-09 → 2011-01-13
    Triad Advisors Llc
    Atlanta, GA
    Atlanta, GA
  • 2009-06-04 → 2010-02-05
    First Legacy Securities, Llc
    Helena, AL
    Atlanta, GA
  • 1998-04-01 → 2009-02-09
    Banc Of America Investment Services, Inc.
    Jacksonville, FL
    Tallahassee, FL
    Fernandina Beach, FL
    Ocala, FL
    Miami, FL
    Fort Lauderdale, FL
    Neptune Beach, FL
    Tallahassee, FL
    Orange Park, FL
    St. Augustine, FL
    Jacksonville Beach, FL
    Jacksonville, FL
    Jacksonville, FL
    Ormond Beach, FL
    Palm Coast, FL
    Deland, FL
    Gainesville, FL
    Ocala, FL
    Pensacola, FL
    Ocala, FL
    Deltona, FL
    Orange Park, FL
    St. Augustine, FL
    Jacksonville, FL
    Niceville, FL
    Lake City, FL
    Daytona Beach, FL
    Jacksonville, FL
    Ponte Vedra Beach, FL
    Tallahassee, FL
    Tallahassee, FL
    Alpharetta, GA
    Atlanta, GA
Other Businesses

I*438484 For profit or not for profit: Entity For Profit Name of outside business organization: LLC name TBD Investment related: N Address of business: Sandy Springs, Georgia, 30342 Nature of business: ["Limited Liability Company"] Position, title, association: ["General Partner/Managing Member"], Start date of relationship: 8/15/2021 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , This is a family LLC that was not previously active. My wife will be using it for internet sales of cosmetics via ebay etc.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-07-22
S63 Uniform Securities Agent State Law Examination 1987-05-18
  • S65 Uniform Investment Adviser Law Examination
    1999-07-22
  • S63 Uniform Securities Agent State Law Examination
    1987-05-18
Other Names
  • Joe Carrington
  • Joseph Wallace Carrington
  • Joseph Carrington

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Atlanta, GA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor