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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 1993-04-06
CT RA APPROVED 1992-04-13
  • TX RA
    APPROVED_RES
    Since 1993-04-06
  • CT RA
    APPROVED
    Since 1992-04-13

Branch Locations

301 Tresser Blvd, Stamford, CT 06901 • 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 New York NY 06/1988 Present
Bank Of America,N.A. Stamford CT 06/2011 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-05-25
S63 Uniform Securities Agent State Law Examination 1988-10-29
  • S65 Uniform Investment Adviser Law Examination
    1993-05-25
  • S63 Uniform Securities Agent State Law Examination
    1988-10-29

View on SEC IAPD

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