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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2012-09-20 |
| TX | RA | APPROVED_RES | 2010-07-16 |
| DC | RA | APPROVED | 1998-04-24 |
Branch Locations
2 disclosure categories 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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Portland | ME | 01/1998 | Present |
| Bank Of America, Na | Portland | ME | 12/2009 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-02-25 |
| S63 | Uniform Securities Agent State Law Examination | 1989-02-02 |
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