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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-19
CT RA APPROVED 1993-05-07
TX RA APPROVED_RES 1992-04-09
  • NY RA
    APPROVED
    Since 2021-04-19
  • CT RA
    APPROVED
    Since 1993-05-07
  • TX RA
    APPROVED_RES
    Since 1992-04-09

Branch Locations

Greenwich, CT • United States

2 Pickwick Plz, Greenwich, CT 06830 • 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 Greenwich CT 11/1991 Present
Bank Of America,Na Greenwich CT 09/2009 Present
Other Businesses

I*110688 For profit or not for profit: For-Profit Organization Name of outside business organization: TriSke , LLC Investment related: N Address of business: MORRISON, Colorado 80465 Nature of business: LLC, Position, title, association: Limited Partner, Start date of relationship: 11/28/2017 Number of hours devoted: 0 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: LLC INVESTMENT TO PURCHASE A VACATION HOME WITH MY BROTHER AND SISTER 1/3 PARTNERS EACH

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1989-12-01
  • S63 Uniform Securities Agent State Law Examination
    1989-12-01
Other Names
  • Stephen N Wolanske

View on SEC IAPD

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