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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-04-22
TX RA APPROVED_RES 2006-07-19
VA RA APPROVED 2003-03-27
DC RA APPROVED 1994-06-04
  • FL RA
    APPROVED
    Since 2024-04-22
  • TX RA
    APPROVED_RES
    Since 2006-07-19
  • VA RA
    APPROVED
    Since 2003-03-27
  • DC RA
    APPROVED
    Since 1994-06-04

Branch Locations

8075 Leesburg Pike, Vienna, VA 22182 • United States

Jupiter, FL • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Vienna VA 11/1988 Present
Bank Of America, N.A. Vienna VA 05/2017 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1991-08-21
S63 Uniform Securities Agent State Law Examination 1989-02-24
  • S65 Uniform Investment Adviser Law Examination
    1991-08-21
  • S63 Uniform Securities Agent State Law Examination
    1989-02-24

View on SEC IAPD

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