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Marc Lewis Berkowitz

Merrill Lynch, Pierce, Fenner & Smith Incorporated

White Plains, NY

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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 2022-05-11
CT RA APPROVED 2008-03-20
TX RA APPROVED_RES 2004-07-21
  • NY RA
    APPROVED
    Since 2022-05-11
  • CT RA
    APPROVED
    Since 2008-03-20
  • TX RA
    APPROVED_RES
    Since 2004-07-21

Branch Locations

360 Hamilton Ave Pbig - White Plains, White Plains, NY 10601 • 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 Mt. Kisco NY 02/1990 Present
Bank Of America, N.A. Greenwich CT 06/2011 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-12-21
S63 Uniform Securities Agent State Law Examination 1989-11-01
  • S65 Uniform Investment Adviser Law Examination
    1994-12-21
  • S63 Uniform Securities Agent State Law Examination
    1989-11-01

View on SEC IAPD

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