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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_RES 2011-01-11
AL RA APPROVED 2010-08-10
  • TX RA
    APPROVED_RES
    Since 2011-01-11
  • AL RA
    APPROVED
    Since 2010-08-10

Branch Locations

569 Brookwood Vlg, Birmingham, AL 35209 • 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 Birmingham Southeast AL 07/2010 Present
Bank Of America, N.A. Birmingham AL 07/2011 Present
Previous Registrations
  • 2009-06-01 → 2010-07-26
    Birmingham, AL
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Birmingham, AL
  • 1992-01-07 → 2007-04-02
    Morgan Stanley Dw Inc.
    Birmingham, AL
    Birmingham, AL
Other Businesses

I*90983 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: R. TERRY MOORE INVESTMENT RELATED: N ADDRESS OF BUSINESS: BIRMINGHAM, ALABAMA 35213 NATURE OF BUSINESS: OTHER, OWNERSHIP IN MY NAME AND REPORTED ON MY TAX ID POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 42401 NUMBER OF HOURS DEVOTED: 3 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MY WIFE AND I ARE RENTING OUR PREVIOUS HOUSE AFTER MOVING TO A NEW HOUSE. I WILL BE REQUIRED TO MAINTAIN THE HOUSE IN A LIVING CONDITION.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-03-25
S63 Uniform Securities Agent State Law Examination 1987-09-30
  • S66 Uniform Combined State Law Examination
    2015-03-25
  • S63 Uniform Securities Agent State Law Examination
    1987-09-30
Other Names
  • Robert Terry Moore

View on SEC IAPD

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