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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 2013-02-26
NJ RA APPROVED 2006-03-27
  • TX RA
    APPROVED_RES
    Since 2013-02-26
  • NJ RA
    APPROVED
    Since 2006-03-27

Branch Locations

1100-1800 American Blvd Central Business Review Unit, Pennington, NJ 08534 • United States

620 S Tryon St Central Business Review Unit, Charlotte, NC 28255 • United States

Bridgewater, NJ • 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 Plainsboro NJ 11/2005 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-03-24
S63 Uniform Securities Agent State Law Examination 1997-12-22
  • S65 Uniform Investment Adviser Law Examination
    2006-03-24
  • S63 Uniform Securities Agent State Law Examination
    1997-12-22

View on SEC IAPD

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