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VICTOR CHARLES MCLEOD III
CHIP MCLEOD
CRD#: 2316427
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1604 E MAIN ST
SPARTANBURG, SC 29307
SPARTANBURG, SC 29307
0
Disclosures
29
Years of Experience
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State Registrations
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Alabama 1/19/2010
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Nevada 6/30/2017
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Alaska 9/15/2022
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New Hampshire 9/15/2022
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Arizona 1/15/2021
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New Jersey 1/15/2021
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Arkansas 1/15/2021
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New Mexico 1/15/2021
B
California 9/6/2011
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New York 1/15/2021
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Colorado 8/1/2013
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North Carolina 11/2/2007
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Connecticut 1/15/2021
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North Dakota 5/16/2022
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Delaware 1/15/2021
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Ohio 4/5/2013
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District of Columbia 1/15/2021
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Oklahoma 9/15/2022
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Florida 11/2/2007
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Oregon 1/15/2021
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Georgia 11/2/2007
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Pennsylvania 1/5/2011
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Hawaii 9/15/2022
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Puerto Rico 9/15/2022
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Idaho 9/15/2022
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Rhode Island 1/15/2021
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Illinois 1/15/2021
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South Carolina 11/2/2007
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Indiana 1/15/2021
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South Carolina 11/6/2007
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Iowa 9/15/2022
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South Dakota 9/15/2022
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Kansas 4/18/2018
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Tennessee 1/19/2010
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Kentucky 1/19/2010
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Texas 12/1/2008
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Louisiana 1/15/2021
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Texas 1/15/2021
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Maine 9/15/2022
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Utah 1/15/2021
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Maryland 1/19/2010
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Vermont 1/15/2021
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Massachusetts 1/15/2021
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Virgin Islands 9/15/2022
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Michigan 1/15/2021
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Virginia 11/24/2008
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Minnesota 9/15/2022
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Washington 7/6/2017
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Mississippi 1/15/2021
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West Virginia 1/19/2010
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Missouri 1/15/2021
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Wisconsin 8/1/2013
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Montana 3/1/2021
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Wyoming 4/1/2022
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Nebraska 9/15/2022
SRO Registrations
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Registered with this firm since 11/6/2007
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Registered with this firm since 11/2/2007
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/09/2003 - 11/14/2007 | GREENVILLE, SC | |
B | 08/02/2002 - 11/14/2007 | GREENVILLE, SC | |
B | 08/14/2000 - 08/13/2002 | WEEHAWKEN, NJ | |
B | 04/15/1998 - 08/14/2000 | NEW YORK, NY | |
B | 03/08/1996 - 04/09/1998 | OMAHA, NE | |
B | 07/28/1993 - 03/31/1994 | OMAHA, NE | |
B | 04/06/1993 - 06/04/1993 |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.