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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2024-03-25
TX RA APPROVED_RES 2014-12-23
  • WI RA
    APPROVED
    Since 2024-03-25
  • TX RA
    APPROVED_RES
    Since 2014-12-23

Branch Locations

1100-1800 American Blvd Retirement & Personal Wealth Solutions, Pennington, NJ 08534 • United States

833 E Michigan St, Milwaukee, WI 53202 • 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 Chicago IL 11/2014 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-02-20
S63 Uniform Securities Agent State Law Examination 2011-08-29
  • S65 Uniform Investment Adviser Law Examination
    2015-02-20
  • S63 Uniform Securities Agent State Law Examination
    2011-08-29

View on SEC IAPD

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